Securities

Tailored Compliance Solutions for Portfolio Managers, Dealers, and Fund Managers

At Rozek & Co., we deliver practical guidance, transparent fixed-fee packages, and unwavering dedication to your success. Our mission is to empower portfolio managers, dealers, and fund managers with the clarity and tools needed to navigate complex Canadian securities regulations with confidence.

Navigating the intricate landscape of Canadian securities compliance is essential. We ensure it doesn’t become a source of stress for you or your team. With Rozek & Co. by your side, you can move past uncertainty about shifting regulatory demands and embrace a robust, reliable compliance framework.

Immediate Support, Long-Term Strategy

Connect with your dedicated compliance lawyer or consultant for real-time regulatory guidance. Alternatively, let us craft a customized compliance program from our comprehensive suite of over a dozen fixed-fee services. Choose from offerings like anti-money laundering (AML) assessments, policy updates, compliance audits, National Registration Database (NRD) filings, team training for groups of any size, and more. Bundle the services you need into a predictable annual fixed-fee plan for cost certainty and peace of mind.

Our goal is to provide clear, actionable insights into building a strong compliance program, allowing you to focus on growing your business.

It’s About How and When You Act

At Rozek & Co., we help you foster a culture of compliance while equipping you with the tools to operate and expand your business with confidence. We’ll guide you in building a compelling case for firm and individual registration, exploring options for discretionary relief from regulators when needed, and preparing for regulatory audits to ensure they proceed seamlessly.

Our approach hinges on prevention, preparation, and prioritization—three critical elements that securities registrants often find challenging to manage alone. We’ll help you minimize regulatory risks and handle compliance tasks with expertise, efficiency, and practical solutions.

How Rozek & Co can support you

We partner with you to:

Launch or scale your investment or wealth management business with a dynamic securities compliance program that grows with you.
Stay ahead of evolving Canadian securities laws and meet your ongoing compliance obligations.
Track and meet your firm’s compliance deadlines with ease.
Identify and resolve conflicts of interest within your operations.
Address temporary staffing or resource gaps.
Ensure adherence to the Canadian Investment Regulatory Organization (CIRO) rules and expectations.
Structure and manage private investment vehicles compliantly.
Respond effectively to regulatory sweeps and compliance questionnaires.
Prepare for regulatory audits with proactive coaching, remediation support, and assistance in addressing compliance findings.
Develop tailored plans to address compliance gaps.
Understand and meet AML obligations, including preparation for FINTRAC audits.
Keep your team informed on regulatory developments through engaging, interactive training sessions.
Maintain up-to-date NRD filings.
Update and refine compliance policies and procedure manuals.
Ensure account-opening documentation aligns with current regulatory standards.
Meet all regulatory requirements for mortgage investment entities.

With Rozek & Co., you gain a trusted partner committed to simplifying compliance, reducing risks, and empowering your business to thrive in a competitive market.