Financial Services

Financial Services

Financial Services Overview

Enviable yet increasingly complex and stringent regulations in Canada, particularly around the liquidity and transparency of simple and derivative offerings, continue to bring about new intricacies for financial services executives and their legal teams.

In this strictly regulated environment, financial services companies must be able to respond promptly to regulatory change and market constraints while remaining agile enough to satisfy the needs of the increasingly sophisticated consumers of their services.

We have acted for existing and newly formed financial institutions, asset managers, investment funds, investment banks and other financial services companies in relation to the structuring, formation and sale of a wide range of diverse and frequently reimagined instruments.  

Our services as they relate to companies in the Financial Services sector include: 

  • Establishment by way of incorporation, organization and registration of financial services businesses including banks, loan companies, finance companies, fund managers, brokers and other financial services entities
  • Mergers, acquisitions and divestitures
  • Private and public debt and equity financings
  • Amalgamations, arrangements, restructurings and investments
  • Identifying, developing and bringing to market new products
  • Dealing with regulators on disputes and challenges around new product marketing
  • Advising on regulatory, government affairs and compliance issues
  • Corporate governance issues including duties of directors, boards and special committees
  • Handling all facets of the ministerial and superintendent application and approval process under the Bank Act, Investment Canada act. and others

Our lawyers with Financial Services sector expertise work closely with lawyers in other practice areas of the firm including corporate restructuring and insolvency, corporate finance and tax to achieve the best results for our client. 


For more information on how we can assist you with your Financial Services needs or to speak with us regarding any of your business law needs, please contact:

Asset Management  | Ronald Schwass by email or call 416 361 4789.

Investment Funds | Geoff Cher by email or call 416 361 4793.

Banking & Regulatory | Mark Wilson by email or call 416 361 4766.