Securities and Capital Markets

Navigating You Through Securities and Capital Markets

We assist with securities law compliance and capital raising for companies of all stages, from financing of startups 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 and Capital Markets services include:

  • Early Stage Financings and Private Placements

    We work with founders, startups, 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, SAFEs.

  • Token and Coin Offerings

    We advise businesses regarding token or coin offerings or other securities law considerations relating to crypto or blockchain-based assets and platforms, including working with the Ontario Securities Commission and their LaunchPad department.

  • 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 underwriters in secondary offerings and bought deals.

  • 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 and other equity and cash incentive arrangements for company management, including employee incentive plan.

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KristineSecurities and Capital Markets