Securities Law in Ontario


For an Ontario business to seek private investment in order to fund growth, they need to have representation to provide guidance on securities law.


When a business reaches the stage where outside private equity investment is required in order to grow, getting the right professional advice is critical.


Individuals and entities who meet the prescribed criteria, are eligible to become investors and participate in the distribution of certain securities in the exempt market. Investing in the exempt market allows potential investors to engage with early stage companies who have not yet grown into large public companies. This kind of investment also diversifies investors’ portfolios.

Regulation by the Ontario Securities Commission

Due to the complexities of Securities Law, the Ontario Securities Commission pays close attention to these financing activities. The primary legislation in Ontario is the Securities Act. There are a number of important considerations to be made by a company looking to raise capital in the exempt market, and failure to follow the laws and regulations can result in stringent enforcement by the Ontario Securities Commission.


If your company has reached a stage where private equity may drive the next stage of growth, you’ll need the advice of a lawyer who specializes in Securities Law.  Securities Lawyer Christopher R. Shultz is able to help you successfully navigate Ontario Securities Law to help you take your business to the next level.

Securities Law Ontario