Securities

Capital markets offer significant opportunities for financing and growth, while operating within a complex and constantly evolving regulatory framework. We combine legal expertise, market insight, and strategic vision to inform your decisions, assist you with regulatory compliance, establish solid and tailored governance practices, structure your transactions with confidence, and support your ambitions.

Our Securities Services

Our legal team advises growing companies of all sizes, public companies, and reporting issuers, institutional investors, and financial market participants in their day-to-day and commercial activities to guide them in their strategic decisions, advise them on legal and regulatory issues, and structure their transactions, both in the capital markets and in connection with financing from private and institutional investors.

Failure to comply with continuous disclosure obligations or a poorly structured transaction can expose a company to regulatory sanctions, additional costs, and a loss of investor confidence.

We also advise corporate executives on governance matters and work with brokerage firms, mutual funds, and investment companies regarding their capital markets activities and regulatory obligations.

Our expertise encompasses a wide range of financing transactions and covers all aspects of the laws and regulations governing public companies and reporting issuers, including:

Financing & Capital Markets Transactions 

• Public Offerings and Public Placements
• Drafting of Prospectuses and Offering Circulars
• Private Placements of Equity and Debt Securities 
• Financing Through Underwriting, Flow-Through Shares, and Subscription Receipts
• Issuance of Equity and Debt Securities
• Acquisition-Related Financing
• Share Capital Restructuring and Reorganization
• Mergers and Acquisitions and Related Financing
• Creation and Structuring of Investment Funds 
• Listing and Maintenance of Listing on Stock Exchanges

Compliance & Regulation 

• Continuing and Occasional Disclosure Obligations (Material Change Notices, Press Releases)
• Compliance with Laws, Regulations, and Policies of Securities Regulators and Stock Exchanges
• Regulatory Filings and Communications to Investors
• Insider Trading and Insider Disclosures
• Corporate Governance and Obligations of Directors and Officers

Compensation & Share Ownership 

• Stock Option Plans and Other Incentive Plans
• Other Equity-Based Compensation Mechanisms 

Choosing Stein Monast means:

Accessing to attorneys and notaries who closely monitor legal developments in the securities sector to assist you with your cases.

Our services also rely on the expertise of our other practice areas, including taxation, notary services, and corporate and commercial law—a strategic advantage for our clients.