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Prudential Regulation

Prudential Regulation
Prudential Regulation
Expertise / Practices / Financial Services Regulatory / Prudential Regulation

Prudential regulation aims to protect financial institutions from risks that could jeopardize their financial health and the financial interests of their clients. For financial institutions, it’s important to understand how to avoid or minimize risk.

With Canada’s leading financial services regulatory law group, we have the expertise to assist with all aspects of the prudential regulation of federal and provincial financial institutions, including banks, insurance companies, trust and loan companies, credit unions, and centrals. We are well-informed on market trends and legislative changes that could impact your businesses and skilled in advising on all matters impacting safety and soundness, including:

  • Capital and liquidity requirements

  • Investment and business restrictions

  • Self-dealing rules

  • Recovery and resolution plans

  • Staging-related issues

  • Corporate governance

  • Prudential risk management

  • Consumer and market conduct

  • Outsourcing arrangements and practices

  • Data access control and safeguards

  • Reorganizations driven by prudential considerations and regulatory expectations

To better represent our clients, we have built strong relationships with the federal and provincial regulatory bodies. These include the Office of the Superintendent of Financial Institution (the prudential regulator of Canadian banks and other federally regulated financial institutions), the Financial Services Regulatory Authority of Ontario, the Autorité des marchés financiers of Quebec and the Financial Services Authority of British Columbia. We have a comprehensive understanding of the guidance published by international standard-setting organizations, including the Basel Committee on Banking Supervision and the Financial Stability Board, and advise financial institution clients and others on their implementation in Canada.

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Awards & Recognition

Blakes Financial Services Regulatory lawyers have been recognized as leaders in the most recent editions of the following publications:

  • Chambers Canada: Canada’s Leading Lawyers for Business

  • Chambers Global: The World’s Leading Lawyers for Business

  • The Canadian Legal Lexpert Directory

  • The Lexpert/American Lawyer Guide to the Leading 500 Lawyers in Canada

  • Lexpert Guide to the Leading US/Canada Cross-Border Corporate Lawyers in Canada

  • IFLR1000: The Guide to the World’s Leading Financial and Corporate Law Firms

  • The Legal 500 Canada

  • Who's Who Legal: Banking

  • Who's Who Legal: Canada

  • Euromoney’s LMG Banking, Finance and Transactional Expert Guide

  • The Best Lawyers in Canada

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