Regulation, Compliance, and Regulatory Investigation (AMF, Superintendent of Financial Institutions, Financial Consumer Agency of Canada)

Our team’s knowledge of the legislative and regulatory framework governing financial market participants enables us to help our clients navigate and appreciate their regulatory obligations, thereby ensuring compliance. The members of our team have gained high-level experience in regulatory compliance and governance matters, in which they are called upon to assist with such things as:

• the implementation of compliance programs;
• the implementation of guidelines to be followed in order to meet the requirements of various regulatory bodies;
• regulatory investigations conducted by various regulatory bodies.