Torys’ team of securities regulatory lawyers work in concert with the broad expertise of our Capital Markets Practice on all aspects of securities regulatory, registration, enforcement and compliance matters in Canada.
We provide counsel to securities market participants, including issuers and their directors and officers, as well as registered individuals and firms on compliance matters, internal reviews and investigations, regulatory enforcement investigations and proceedings, and as well in the context of shareholder and other disputes that arise in takeover bid situations. Our clients include investment dealers and other securities registrants, market participants, directors and officers, investment funds and stock exchanges.
Notably, in Toronto, several of our lawyers have been seconded to securities commissions, including the Ontario Securities Commission and Quebec’s Autorité des marchés financiers, and have been involved in legislative changes to our securities regime. In New York, one of our partners is a member of the Federal Regulation of Securities Committee of the ABA’s Business Law Section. We are also active with informal and formal participation in working groups and committees at Canadian securities regulators, and have excellent professional relationships with senior regulatory staff.