Our securities defence litigation team is comprised of highly experienced, accomplished and business-minded lawyers who put clients’ needs above all else. We make it our priority to provide you with outstanding service, advice and practical, strategic solutions.
We are results-oriented. Our track-record speaks for itself, but we are always striving to improve. Our team works on all aspects of civil litigation, securities regulatory, registration and compliance matters. We provide counsel to securities market participants, including registrant firms and individuals, on registration matters and internal investigations.
Our clients include investment dealers, market participants, investment funds, public companies and their directors and officers, and marketplaces. Torys lawyers have been seconded to the Ontario Securities Commission, Quebec’s Autorité des marchés financiers and numerous investment dealers. We have been involved in the development of our securities law regime. Our practice routinely involves cross-border and international matters.
Our securities litigation practice includes:
- Securities Class Action Defence – We defend issuers and their officers, directors and advisers, investment bankers, auditors and experts in class actions relating to prospectus disclosure and continuous disclosure, as well as other corporate and commercial litigation.
- Compliance and Enforcement – We defend regulatory investigation and enforcement proceedings, and drawing on our experience and understanding of the securities business, we provide ongoing advice on regulatory compliance and supervisory issues.
- Broker/Dealer Litigation – We provide advice and representation to investment dealers, securities advisors, individual registrants, exchanges and other market participants on all manner of legal proceedings.
- Internal Investigations and Reviews – We assist our clients with their internal investigations and regulatory reviews. We think critically about our role in the investigation process, and help make strategic decisions about whether we should interact with regulators on our clients’ behalf, or whether we should provide advice on their interaction.
- Regulatory Compliance and Training – We routinely assist with or lead programs and seminars aimed at ensuring the people who work in this highly regulated area are knowledgeable about and compliant with regulatory expectations and requirements.
- Cross-border Advice and Representation – We frequently represent clients in Canadian aspects of litigation and regulatory matters that require coordination and collaboration with cross-border legal teams and foreign regulators such as the SEC.