Securities Regulatory Compliance

Regulatory compliance for portfolio managers, investment fund managers and exempt market dealers is becoming more and more complex and costly.  Steven London has over 25 years of experience working with  Canadian financial services companies and investment fund managers, including ten years as general counsel and chief compliance officer.  If you need experienced counsel, please contact us.

Have you committed to review and update your compliance manual each year?  Do you need to add a new policy to address recent regulatory initiatives or to address an audit deficiency? If you don't have the internal resources or require an independent perspective, contact us.

Are you concerned about an area of your business and want experienced counsel to perform an independent internal audit?  Are you the subject of a regulatory audit and need experienced counsel?  

We have experience serving as a securities commission approved monitor.  Please contact us for details.

Do you require an opinion on securities regulatory compliance matters?  Contact us for a confidential discussion.