Canadian Registration Compliance Services

Broker-dealers, investment advisers and fund managers - Non-resident Securities Businesses (“NRSB”) – wanting to engage Canadian investors can do so relatively easily if they obtain regulatory exemption from registration requirements. Although the risk of non-compliance with applicable securities, derivatives, anti-money laundering, and economic sanctions laws can be severe, McCarthy Tétrault has significant experience helping clients seek this exemption, unlocking the vast potential of Canadian capital markets and allowing NRSBs to finance with confidence.

Check out our video outlining the challenges of, and solutions to, doing business in Canada as a NRSB.

Whitepaper Cover for NRSB

Further Reading

For more information, our cross-specialty team of lawyers has published a white paper detailing NRSB compliance obligations, disclosure rules, and other information essential to helping NRSBs obtain exemption from the registration requirements.

Download your copy now

Stay up-to-date & Compliant with our Canadian Registration Compliance Services

With deep understanding of the complex maze of provincial and territorial legislation applicable to NRSBs, we can help you stay on the right side of the law. For a competitive annual fixed fee, you will receive the following compliance services:

  • a tailored memo of advice on how the NRSB may engage with Canadian investors in compliance with securities law registration exemptions, anti-money laundering, terrorist financing and economic sanctions law. This memo of advice will be kept “evergreen” by timely updates as changes in applicable regulation occur;

  • assistance in perfecting the registration exemptions;

  • assistance in paying regulatory fees associated with the registration and prospectus exemptions;

  • assistance in preparing all required client disclosures, including Canadian PPM wrappers and Canadian subscription supplements;

  • assistance in preparing post private placement trade reports and payment of the associated regulatory fee; and

  • acting as the local agent for service in Ontario, Quebec, British Columbia or Alberta as required by registration exemptions and coordinating the retention of local agents for service in any other Canadian provinces or territories in which the applicable exemption is sought.

Please contact [email protected] for further information and a fee quote. We look forward to working with you.

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