Need Help with Disclosure Requirements and Securities Compliance?
At LaBarge Weinstein, we act for companies trading on the TSX, TSX-V, NYSE, and Nasdaq exchanges. From Initial Public Offering to disclosure requirements, and ongoing securities compliance, we deliver cost-effective, practical, and reliable advice that coincides with your strategic vision.
A Fixed Legal Fee Alternative for Issuers
At LaBarge Weinstein, we help our clients navigate through the continuing complexity of securities regulation on a daily basis. As a firm, we recognize that small-and-medium-sized public companies require cost-effective, proactive, and value-added legal services designed to enhance securities compliance for reporting issuers.
Many public companies cannot afford in-house counsel or the high and uncertain costs of traditional service providers, yet they are desperate to comply with the growing complexity of securities regulation.
This innovative approach is now being used by a broad range of public companies as either their de facto general counsel for securities law or in support of in-house counsel. It includes:
- Corporate governance – including guidelines, charters, officer position descriptions, codes of conduct and mandates, and director independence policy;
- Continuous disclosure documentation and processes – including stock option guidelines, insider trading and continuous disclosure practices, management proxy circular, annual information form compliance, statement of executive compensation and code of ethics;
- A tickler (reminder/bring forward) system for timely filing, SEDAR and SEDI filing for continuous and timely disclosure, insider trading, material change reports and confidential material change reports;
- Regular and practical updates of new securities matters applicable to issuers; and
- Day-to-day standard legal advice to ensure compliance with securities legislation and policies.