North Star Compliance and Regulatory Solutions Inc.
North Star Compliance & Regulatory Solutions Inc. is a regulatory consulting firm established in 2011 bringing over 30 years of experience in research, investigation and regulation of firms in financial industries. North Star provides guidance, advice and training relating to registration, compliance and enforcement of securities legislation and other applicable laws and regulations to firms participating in the Canadian capital markets.
We have an unmatched understanding of the relevant regulations. Our principal, David Gilkes led the Registrant Regulation team at the OSC and was intimately involved in the development and drafting of NI 31-103.
North Star combines the regulator’s perspective with understanding and insight into the investment business and its operations. As a result, North Star can design and implement a regulatory compliance regime that suits your business model and meets both the spirit and the letter of the law.
Applying for and obtaining registration in the categories of portfolio manager, dealer, or investment fund manager in all Canadian jurisdictions, as well as SRO Membership.
Designing compliance systems and drafting Policies and Procedures Manuals
Assisting in securities industry mergers, acquisitions and asset transactions, including due diligence and regulatory filings
Structuring operations to maximize operating efficiency, manage conflicts of interest, and support the compliance system
Providing advice and expert evidence in litigation and regulatory proceedings
Conducting reviews of a registered firm’s policies, procedures, operations and practices to identify any risks in the compliance system
Conducting anti-money laundering assessments required under money laundering and terrorist financing legislation