Registrant Law
Address
130 Adelaide Street West, Suite 2929
Toronto,
ON M5H 1T1
(647) 402 - 7729
[email protected]
http://www.registrantlaw.com
Principal Contacts
Nancy
Mehrad
[email protected]
(647) 402 - 7729
Practical, solution-oriented advice
Registrant Law is a boutique law firm in the Toronto area providing quality, practical, and cost-effective securities law and regulatory compliance advice to portfolio managers, dealers, and investment fund managers in Canada. We provide pragmatic advice, geared towards finding solutions for our clients.
Securities Law Advice
- Advice on securities law obligations
- Registration of firms and individuals
- Commercial contracts
- Client agreements, disclosures, & forms
- Advice on product development
- Exemptive relief applications
- Advocacy efforts
Regulatory Compliance Advice
- Ongoing regulatory compliance advice, including fixed-fee packages
- Compliance manual (new & updates)
- Compliance with new or revised legislations (e.g. Client Focused Reforms)
- Training
- Marketing and sales communication reviews
- Audit & firm compliance reviews
- Anti-Money Laundering, including two-year effectiveness reviews and risk assessments
- Independent compliance consultant engagement following a regulatory decision
