Your Guiding Light through the Regulatory Wilderness

NORTH STAR Compliance and Regulatory Solutions Inc. is a regulatory consulting firm established in 2011 bringing over 30 years of experience in research, investigation and regulation of firms in financial industries. North Star provides guidance, advice and training relating to registration, compliance and enforcement of securities legislation and other applicable laws and regulations to firms participating in the Canadian capital markets.

OUR SERVICES INCLUDE:

  • Applying for and obtaining registration in the categories of portfolio manager, dealer, or investment fund manager in all Canadian jurisdictions
  • Designing compliance systems and drafting Policies and Procedures Manuals
  • Assisting in securities industry mergers, acquisitions and asset transactions, including due diligence and regulatory filings
  • Structuring operations to maximize operating efficiency, manage conflicts of interest, and support the compliance system
  • Providing advice and expert evidence in litigation and regulatory proceedings
  • Conducting reviews of a registered firm’s policies, procedures, operations and practices to identify any risks in the compliance system
  • Conducting anti-money laundering assessments required under money laundering and terrorist financing legislation
  • Designing, implementing and acting as a monitor for compliance improvement plans imposed by regulators

NORTH STAR has an unmatched understanding of the relevant regulations. Our principal, David Gilkes led the Registrant Regulation team at the OSC and was intimately involved in the development and drafting of NI 31-103.

COMPLIANCE AND REGULATORY ASSURANCE is much more complex than simply “knowing the rules”. North Star combines the regulator’s perspective with understanding and insight into the investment business and its operations. As a result, North Star can design and implement a regulatory compliance regime that suits your business model and meets both the spirit and the letter of the law.

North Star is not affiliated with any legal, accounting or management consulting firm. North Star produces truly INDEPENDENT RESULTS that meet your goals and are not affected by other relationships. North Star’s business is devoted solely to clients, large and small, in the Canadian securities and investment management industry. Unlike large professional service firms, North Star offers direct contact with our founder and principal.

Our  EFFICIENCY, EFFECTIVENESS, AND EXPERIENCE includes the ability to work with regulators to obtain timely and effective results.