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Canadian Securities Regulatory Monitor News and Insight


Our Securities Regulation & Investment Products Group, established in 2000, serves the full range of market participants with comprehensive expertise in Canadian regulatory matters, and in the vast array of capital markets financial products and services. Our clients include domestic and non-resident dealers, advisors, investment fund managers, commodity-futures merchants, commodity-trading managers, financial institutions, alternative trading systems and other market participants.

Our group members are located in our firm’s Toronto, Montréal, Calgary and Vancouver offices. We partner regularly with our firm’s tax, banking, pension fund, litigation and M&A practitioners to help our financial services clients address the impact of Canadian securities, tax, pension, banking and other laws.

Our services encompass the following:

  • Securities trading – Regulatory requirements governing the trading of securities by investors, dealers, advisors, financial institutions, marketplaces and other market intermediaries.
  • Advisor regulation – Regulatory requirements in relation to services and products offered by businesses and individuals engaged in offering investment counselling and portfolio management services.
  • Investment funds – Assisting with the establishment, distribution, governance, day-to-day operations, restructuring and termination of investment funds, including mutual funds, pooled funds, closed-end funds, alternative-investment funds and labour-sponsored funds.
  • Transaction work – Assisting with the conduct of transactions involving the establishment, sale, transfer, restructuring or merger of dealers, advisors and financial products and services.
  • Regulatory proceedings – Advising on regulatory risks associated with particular trading and advisory activities, responding to compliance reviews, audits and information demands by regulators, responding to investigations and enforcement proceedings and assisting with securities firm bankruptcies, insolvencies and civil cases.
  • Anti-money-laundering and privacy – Advising on compliance with Canada’s recently amended anti-money-laundering rules and privacy regulations, including disclosing required information to the Financial Transactions and Reports Analysis Centre of Canada, and developing anti-money-laundering and privacy programs.

For more information about our group, please visit McCarthy Tétrault’s website.