About Us

Fasken Martineau’s Securities Regulatory Compliance Group provides expertise in regulatory matters to portfolio managers, investment fund managers and dealers. Whether the issue involves interacting with the Canadian securities regulators, IIROC or the MFDA, interpreting and responding to existing or pending legislative changes, or providing compliance advice on current issues, our team has the necessary expertise to deal with any regulatory issue, including internal investigations and enforcement matters. In particular we can provide you with integrated advice to help you avoid regulatory concerns before they become a problem. This includes assisting you with your registration filings, reviewing and revising your policies and procedures, helping you revise and create new forms, and dealing with recent regulatory developments.

Please contact:

• Toronto – Garth Foster at 416-868-3422 or gfoster@fasken.com
• Montreal – Francois Brais at 514-397-5161 or fbrais@fasken.com
• Vancouver – Barinder Sidhu at 604-631-4790 or bsidhu@fasken.com