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Securities Regulatory

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Primary Contacts
Toronto
John A. Fabello Partner
Andrew Gray Partner
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Related Expertise

  • Banking and Debt Finance
  • Capital Markets
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  • Regulatory
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Overview

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, consumer protection issues, as well as providing counsel 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.

Insights

Securities law: what you need to know for 2021

February 02, 2021

Association of Corporate Counsel’s (ACC) 7th annual securities law symposium

October 01, 2020

Top 5 securities litigation and enforcement issues to kick off 2020

January 28, 2020

Preparing for the 2020 proxy season: Key governance matters in Canada

January 28, 2020

U.S. changes affecting your business: The proxy voting system—new SEC guidance

September 11, 2019

Media

Andrew Beck on Canadian impact of proposed changes to SEC rules

February 20, 2020

Chris Bornhorst on how the SEC’s proposed proxy-advisory rules will affect Canadian investors

December 09, 2019

“The status quo won’t continue”: Potential DSC changes ahead

April 15, 2019

Cornell Wright warns challenging role for directors in pending proxy season

February 26, 2019

Advisors should be aware of what they sign

February 07, 2019
Primary Contacts
Toronto
John A. Fabello Partner
Andrew Gray Partner
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Team Members

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Securities Regulatory Team Members

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  • People
  • Expertise
    • Services
      • Banking and Debt Finance
      • Board Advisory and Governance
      • Capital Markets
      • Competition and Foreign Investment
      • Consumer Protection
      • Corporate Restructuring and Advisory
      • Data Governance and Strategy
      • Emerging Companies and VC
      • Environmental
      • Indigenous
      • Intellectual Property
      • Litigation and Dispute Resolution
      • Mergers and Acquisitions
      • Pensions and Employment
      • Private Client Services
      • Private Equity
      • Projects
      • Regulatory
      • Tax
      • Technology Contracting
      • White Collar Defence and Investigations
    • Industries
      • Agribusiness
      • Cannabis
      • Financial Services
      • Government
      • Industrial and Manufacturing
      • Infrastructure
      • Life Sciences
      • Media and Communications
      • Mining and Metals
      • Oil and Gas
      • Power
      • Real Estate
      • Retail and Consumer Products
      • Technology
    • Regions
      • Asia Pacific
      • Canada and the United States
      • Europe and the United Kingdom
      • Latin America
      • Middle East and Africa
      • Northern Canada
      • Torys Global
    • Explore Our Work
    • Projects Map
  • Insights
    • Torys Quarterly
    • Publications
    • Events
    • UniversiTorys
    • Subscribe
    • Trends
      • Torys podcasts
      • Emerging Companies and Venture Capital Insights
      • Securities Defence Case Comments
      • Transaction Tips
      • Business Law Guides
      • Trends in M&A
  • Careers
    • Overview
    • Current Opportunities
    • Student Program
    • Lawyers
    • Law Clerks and Paralegals
    • Firm Administration
    • Legal Secretarial Support
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