Securities

Advising public and private entities and private investors on all aspects of capital structuring, financing and securities compliance.

Securities transactions are usually complex and time sensitive. Securities rules are also complex and most private entities are unaware of how those rules apply to them. Our securities lawyers advise both public and private entities, as well as private investors, on all aspects of capital structuring, financing and securities compliance.

Our approach is to gain a comprehensive understanding of our clients’ business objectives and then provide advice on structuring, financing and compliance alternatives that are appropriate to their circumstances.

From negotiating a private placement to providing corporate governance advice to directors and officers, our lawyers have the knowledge and experience to guide clients through a wide range of securities transactions including:

  • Acquisitions and Reorganizations
  • Amalgamations and Divestitures
  • Private Placements (including angel and venture capital investments)
  • Public Offerings
  • Stock Exchange Listings
  • Takeover and Issuer Bids
  • Public Filings
  • Stock Option Plans
  • Broker/Dealer/Advisor Registration and Compliance
  • Fiscal Agency Agreements
  • Securityholder Agreements
  • Specialized Structures (Funds, Trusts, Limited Partnerships, Joint Ventures, etc.)
  • Disclosure Documents
  • Compliance and Remediation
  • Crossborder Transactions
  • Corporate Governance Advice

We draw on the knowledge of other firm lawyers and partner with the client’s other professional advisors to provide comprehensive advice tailored for each client’s unique circumstances. When disputes arise we also represent clients in securities litigation matters including regulatory proceedings and disputes arising from investments and / or securities transactions.

We can assist you. Please do not hesitate to contact one of our securities lawyers for more information or a confidential consultation.

Our Securities Team:

Keith Inman*

Keith Inman*

Partner

[email protected]
250.869.1195

Andrew Brunton*

Andrew Brunton*

Partner

[email protected]
250.869.1135

Rebecca Dickson

Rebecca Dickson

Associate

[email protected]
250.869.1194

Derek Graham

Derek Graham

Associate

[email protected]
250.869.1129

Securities Posts

On June 20, 2024, the Canadian Securities Administrators announced a multilateral initiative by the securities regulatory authorities to temporarily extend the role of exempt market dealers (“EMDs”).
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