EXPERTISE

DISTRIBUTION OF FINANCIAL PRODUCTS AND SERVICES

Overview

The adoption of new legislative and regulatory measures and the important issues related to the monitoring and distribution of financial products and services call for specialized expertise and strategic assistance in the event of investigations and various other proceedings in the civil, regulatory, disciplinary and penal spheres. Lavery has experts who can offer you integrated services including preventive advice and effective defence of your interests based on their expertise in matters of a disciplinary nature as well as cases involving regulatory compliance or professional liability. Our experience with financial regulatory authorities and our multidisciplinary approach enable us to rapidly mobilize a team of specialist lawyers who can resolve the situation confronting you.

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Services

  • Assistance with regulatory compliance
  • Advice on the law pertaining to securities, financial institutions, financial services and capital market infrastructures
  • Listing, certification, obtaining licences
  • Litigation involving regulated parties, such as financial institutions, securities dealers, insurance firms and their representatives
  • Litigation related to fiduciary obligations
  • Issues pertaining to insurance coverage
  • Class actions
  • Recourses under the Securities Act, the Act respecting the Autorité des marchés financiers and the Insurance Act
  • Drafting and interpreting financial services agreements
  • Representation in the context of regulatory and penal investigations
  • Submissions to the Autorité des marchés financiers (AMF), the Chambre de la Sécurité Financière (CSF), the Chambre de l'assurance de dommages (CHAD) and the Investment Industry Regulatory Organization of Canada (IIROC)
  • Professional liability
  • Regulatory and corporate services
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Professionals

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LAVERY AT A GLANCE

An independent law firm, offering the full range of legal services to business. 175 lawyers in Montreal, Quebec City and Ottawa. Member of the World Services Group, an international network of service firms with offices in 120 countries.