Regulatory Defence

Regulatory investigations can trigger business- and career-ending consequences. We defend companies, directors, executives, and employees facing regulatory scrutiny. Every regulatory interaction shapes immediate outcomes, reflects your compliance commitment, and impacts long-term relationships.

Sandeep Joshi served as Associate General Counsel for BMO Financial Group’s regulatory legal team, and brings firsthand experience of what you need to do to demonstrate and maintain regulatory confidence in your compliance culture.

We defend your actions, demonstrate your compliance commitment, and build regulatory confidence. We’ve represented clients before provincial securities commissions, CIRO, the Competition Bureau, the OPC, FCAC, OSFI, and other regulators.

Representative Experience in Regulatory Defence

Our lawyers have dealt with a wide range of regulators and have advised and represented clients on the following matters:

• Companies, directors, executives, and employees across multiple industries in insider trading, fraud, material misrepresentation, stock option, and compliance investigations and enforcement hearings before provincial securities commissions and CIRO.
• Companies in the consumer products, construction, manufacturing, and transportation industries in price-fixing, bid-rigging, misleading advertising, and abuse of dominance investigations under the Competition Act, and a major Canadian bank in unprecedented, concurrent OSFI and FCAC investigations into sales practices.
• Public and private companies in connection with privacy breaches and OPC investigations.
• Multiple companies responding to search warrants, production orders, and information requests from regulators and law enforcement.