Securities Risk Management & Compliance

Boughton Law’s Securities Risk Management and Compliance Practice Group has extensive experience advising on risk management, regulatory and compliance matters.

Areas of Expertise

Count on our advice and expertise dealing with industry regulators including the BC Securities Commission, TSX Venture Exchange, IIROC and the MFDA. From interviews and investigations to representation in disciplinary hearings, our lawyers can help with all securities risk management and compliance matters. We prosecute, defend, mediate and arbitrate civil complaints brought by investors and assist both investment dealers and individual registrants in those civil actions.

Advising public and private companies and assisting with queries and investigations initiated by the regulators are also areas in which we have particular expertise.

Your Benefits

You can be confident in our depth of knowledge of the commercial and regulatory environment which drives the securities industry and capital markets. In fact, our lawyers have been called upon frequently to lecture on the regulatory and compliance issues which impact our clients.

With extensive experience before all levels of trial and appellate courts in British Columbia, the Federal Court of Canada, the Supreme Court of Canada, and most regulatory tribunals and agencies, you can rely on us for sound advice and representation to resolve your disputes.

Our combined expertise with the Securities Practice Group and other related practice areas in business and dispute resolution allows us to provide a seamless, holistic service and find practical solutions to meet your needs.

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