Private placements, initial public offerings, prospectus exemptions, continuous disclosure, and TSX and TSX Venture Exchange listings and compliance — for Canadian issuers, investment dealers, and international investors.
The securities practice covers the work that Canadian public companies, issuers preparing to go public, investment dealers, and investors in Canadian issuers actually need — from private placements and IPOs through continuous disclosure and going-private transactions. The principal lawyer has acted in Canadian securities matters for over two decades, including on behalf of TSX and TSX-V listed issuers and several Canadian investment dealers.
Accredited investor financings, friends-and-family rounds, offering memorandum financings, and the related 45-106F1 filings and provincial variations. Includes negotiating subscription agreements, side letters, and warrant indentures.
IPOs and stock exchange listings on the TSX and TSX Venture Exchange — preparing the prospectus, exchange listing application, and coordinating with auditors, underwriters, and the exchange.
RTOs and qualifying transactions on the TSX-V, including the negotiation, structuring, and exchange filings required to take a private company public through a capital pool company or other shell.
MD&A, AIF, annual and interim financial filings, material change reports, news releases, insider reporting, and the routine continuous-disclosure rhythm of a Canadian public company.
Director and officer matters, audit committee charters, governance policies, related party transactions, and the corporate-secretarial work that public companies need.
The firm has acted as counsel to several Canadian investment dealers — corporate matters, financings, and regulatory compliance.
Canadian securities law has a specific cadence — disclosure deadlines, exchange filings, exemption reliance, hold periods. The practice is built around getting these right consistently, on schedule, at a known cost.
Continuous disclosure work for public issuers is typically billed on a quarterly or per-filing basis. Financings, RTOs, and listings are typically scoped and capped at the engagement letter stage. Routine corporate-secretarial work can be handled on a monthly retainer.
Yes — both. The firm has acted as counsel to TSX and TSX-V listed issuers, to Canadian investment dealers, and to investors (Canadian and US) participating in Canadian financings. Engagement letters are scoped to the role on each matter.
Yes. The firm handles TSX-V listings, including initial listing applications, reverse takeovers, qualifying transactions, and the related exchange filings. For initial listings on the senior TSX, the firm typically coordinates with a larger firm on the underwriting side as needed.
Yes. The firm regularly works with US investors in Canadian issuers, and with Canadian issuers raising capital from US investors — including Canadian-side compliance on private placements with US participants. For US-side securities law (Regulation D, Regulation S, blue-sky), the firm coordinates with US counsel.
Typically on a per-filing or quarterly basis, with a predictable annual budget. For active issuers, a monthly retainer covering routine continuous disclosure plus per-engagement scoping for financings and transactions is common.
From single financings to ongoing public-company compliance. Initial consultations are short and no-cost.
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