Dispute Resolution

Securities Risk Management & Compliance

Boughton Law’s years of experience advising companies on securities risk management and appearing before most regulatory tribunals and courts gives us the tools to provide companies and investors with expert legal advice.

The lawyers in Boughton Law’s Securities Risk Management and Compliance Practice Group understand commercial and regulatory environments like the back of their hands. We have an intimate knowledge of the laws and regulations that govern the securities industry and capital markets. In fact, our lawyers are frequently asked to lecture on regulatory and compliance issues, and our Securities Practice Group actively lobbies for regulatory and legal changes to security laws. Together with other lawyers at our firm, we provide you with a comprehensive, holistic service that proactively addresses securities risks and compliance while providing expert advice should issues arise.

Our lawyers can advise you on securities risk management and compliance matters such as interviews, investigations, and representations in disciplinary hearings. We also prosecute, defend, mediate, and arbitrate civil complaints brought by investors, investment dealers, and individual registrants. In particular, our team excels at advising public and private companies on securities risk management and assisting with investigations initiated by regulators.

We have expertise dealing with industry regulators like the BC Securities Commission, TSX Venture Exchange, IIROC, and the MFDA. We’ve appeared before most regulatory tribunals and agencies, all levels of British Columbia’s trial and appellate courts, the Federal Court of Canada, and the Supreme Court of Canada. We’re prepared for any situation you need us for.

Boughton Law is a part of Meritas®, a global alliance of independent, full service law firms. With access to firms operating in over 230 markets worldwide, we can draw upon the expertise of trusted foreign legal advisors and even provide referrals if needed.

  • Representative Transactions

    Boughton Law’s representative work includes advising:

    • Private issuers on matters relating to compliance with exempt distribution requirements
    • Public companies on insider trading restrictions
    • Investment dealers in civil matters concerning claims of negligence and breach of fiduciary duty
    • Private companies on matters relating to oppression remedy claims
    • Registrants in disciplinary matters initiated by various regulatory bodies