Securities - Regulatory - Compliance - Consulting
Don’t make things worse. If you are interacting with the regulators, we can help ensure your message will be clearly heard. Principles-based regulation is rife with miscommunication. Let us help to ensure your message is clear and understood. We can assist with Compliance Reviews, Investigations or enforcement matters. If you have an internal concern, we can help you manage it in a manner that will satisfy the regulator and minimize your risk.
Investing in your compliance program can prevent unbudgeted future costs. Regulatory actions such as terms and conditions, monitorships, and referrals to enforcement can be expensive and can potentially be a reputational risk. We can review your compliance program, identify gaps and provide solutions. We can design a fixed-cost program if that is your preference, or we can approach the engagement on a matter by matter or priority basis.
Based in Calgary