Securities and Capital Law

We assist with securities law compliance and capital raising for companies of all stages, from financing of start-ups and pre-IPO enterprises to advising on the going public process and navigating the life of a public company. We have extensive experience working with founders, investors, stock exchanges, regulators, bankers and auditors to get deals done.Our securities services include:

Early Stage Financings and Private Placements
We work with founders, start-ups, growth companies, and angel or institutional investors to complete seed, angel, bridge and venture capital financings. These financings include brokered or non-brokered financings by way of equity, convertible debt, subscription receipt, warrants, etc.

Going Public Transactions and Public Offerings
We work with growth stage and established companies in planning, preparing for and executing going public transactions, including by way of Initial Public Offering (IPO) or Reverse Takeover (RTO) and listing on the Toronto Stock Exchange, TSX Venture Exchange or the Canadian Securities Exchange. We also assist in the formation of Capital Pool Companies and the completion of Qualifying Transactions. In addition, we represent companies or brokers in post-listing financings and acquisitions.  

Investments in and Acquisition of Public Companies
We represent both investors and public companies when investors invest in a public company, as well as acquisitions of public companies by take-over bids, plan of arrangement or other means.  

Investment Funds
We help clients to establish investment funds including real estate investment funds and venture capital funds, by way of limited partnerships or corporations.  We also represent investors investing in investment funds.

Securities Law, Compliance and Corporate Governance
We advise private and public companies regarding ongoing compliance with securities laws and corporate governance, including annual and special shareholder meetings procedures and continuous disclosure requirements for public companies.

Equity Incentive Plans
We assist companies in preparing stock option plans, option agreements, restrictive share units (RSUs) plans and other equity and cash incentive arrangements for company management, including employee incentive plan.

Going Private
When a public company wishes to go private, we assist the company to complete the going private transaction using different methods, to cease to be a reporting issuer in Canada, and to delist from the stock exchange