North Star Group

About North Star Group

North Star Group is a boutique securities regulatory law and compliance advisory firm working closely with portfolio managers, exempt market dealers, investment fund managers, fintechs, CIRO member firms, and other regulated businesses to meet the legal and compliance challenges that arise throughout the regulatory lifecycle.

Our guidance is tailored, actionable, and aligned with each client’s operational realities, providing confidence for firms to manage their risks as they pursue their long-term objectives.

We combine deep legal expertise with extensive regulatory and compliance experience to provide solutions tailored to the realities of operating a regulated business. By bringing legal and compliance expertise together, we help clients address regulatory issues effectively and efficiently while remaining focused on their business goals.

We also provide specialized recruitment and executive search services designed to help securities organizations build strong, capable teams.

How We Help

North Star Group offers a broad range of legal and compliance services, including:

• Registration and licensing

• Regulatory advocacy and engagement with securities regulators

• Exemptive and discretionary relief applications

• Compliance program development, enhancement, and ongoing execution

• Mock audits and AML reviews
• M&A due diligence support services

• Regulatory examination remediation

• Strategic transactions

• Ongoing legal and regulatory advisory support
• Recruitment for compliance, legal, operations, and executive leadership roles