Banking & Finance: Financial Services Regulation

About

Provided by McCarthy Tétrault LLP

National and international financial companies rely on our unparalleled depth, extensive experience and expertise in minimizing the impact on their operations in this country of Canadian securities, tax and other laws

We advise financial institutions as well as domestic and foreign dealers, advisors, investment funds and investment fund managers, alternative trading systems and other market intermediaries on the regulatory requirements governing securities regulation, investment products, transactions work and risk. We support you through investigations and enforcement proceedings, assist with civil cases and respond to compliance reviews, audits and information demands by regulators.

We make it our business to identify potential regulatory challenges that could enable you to engage more efficiently in reorganizations, acquisitions and dispositions, and to advise you on best practices in corporate governance. We also help you manage credit exposure, banking rules, borrowing disclosure rules and payment systems.

Governments, regulatory agencies and private sector organizations and companies regularly retain us on national and international financial services policy development, implementation and issues.