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Capital Markets and Securities

At DS Lawyers Canada, we understand the intricacies of capital markets, and securities regulation. We provide comprehensive legal services tailored to the needs of businesses navigating complex financial transactions and regulatory frameworks. Our experienced team of lawyers is equipped with the knowledge and expertise to guide you through the complexities of capital markets, ensuring compliance with securities regulations.

Legal services for capital markets and securities regulation

Our firm offers a wide range of legal services to assist businesses in capital markets, and securities regulation matters. We work closely with companies, financial institutions, and regulatory bodies to provide strategic advice and representation. Here are some of the services we offer:

  • Initial public offerings (IPOs) and listings: We assist companies in navigating the process of going public and listing their securities on stock exchanges. We provide guidance on regulatory compliance, due diligence, prospectus drafting, and coordination with stock exchanges and regulatory authorities.
  • Private placements and securities offerings: We advise businesses and investment dealers on private placements, public offerings (such as bought deals), and other securities offerings, including cross-border financings. Our team assists in the preparation of prospectuses, offering support on memorandums, subscription agreements, and compliance with disclosure requirements and securities laws.
  • Corporate governance and compliance: We help businesses establish and maintain robust corporate governance practices and ensure compliance with securities regulations. We advise on board structure, director responsibilities, disclosure obligations (including ESG disclosure), insider trading regulations, and shareholder rights (including proxy contests and shareholder disputes).
  • Mergers and acquisitions (M&A): We provide legal support for mergers, acquisitions, and divestitures involving publicly traded companies, including cross-border M&A and takeover bids. Our team assists with transaction structuring, due diligence, regulatory compliance, drafting of transaction documents, and obtaining necessary approvals.
  • Regulatory compliance: We assist businesses in navigating securities regulations and we represent them in dealings with stock exchanges and securities regulators. We help clients respond to inquiries from regulatory authorities, obtain regulatory exemption orders, conduct internal investigations, and develop compliance programs.
  • Registration: We assist investment dealers, including exempt market dealers, with meeting their regulatory obligations to ensure compliance with securities regulations, as well as providing advice on various securities financing matters.  

Why choose DS Lawyers Canada?

DS Lawyers Canada is renowned for its expertise in Capital Markets and Securities regulation. Our team understands the complexities and nuances of financial transactions and the regulatory landscape. We are committed to delivering practical, effective, and innovative solutions to help our clients achieve their business objectives.


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