Securities and Regulatory Affairs

Securities and regulatory matters are complex and dynamic, with changing laws, technologies and jurisdictions. Navigating the many statutes and roles of the governing bodies, such as the Financial Services Regulatory Authority of Ontario, Office of the Superintendent of Financial Institutions and the Ontario Securities Commission, requires understanding the framework in which they operate and their core principles. Experienced professionals are required to develop strategies in distress situations or when investigations are necessary to assess allegations of fraud, theft, misappropriation or mismanagement.

KSV has assisted securities and regulatory agencies when issues arise, including in federal and provincial matters.  We have been involved in several banking and securities mandates, including PACE Savings & Credit Union, Margosa Credit Union, Portuguese Canadian Credit Union, C.O. Capital Growth Corp., Textbook Group of Companies, Security Home Mortgage Corp., Standard Trust and Confederation Treasury Services Limited, as well as the pension aspects of Nortel Networks, Stelco and numerous others. Our deep experience in restructuring, interim management, valuations and forensic accounting assisted us to successfully execute these matters.

Contact KSV today to speak with our practice leaders.