Legal Consultation for CIRO Registration and Regulatory Matters

via Freelancer ·

Budget / SalaryC$250–750
TypeFreelance project
LocationRemote
Posted1 hour ago
I am seeking a lawyer with expertise in securities regulatory and CIRO registration matters.

Background:
- I previously worked with TD Investment Services and recently discovered an issue disclosed on my Form 33-109F1 Notice of End of Individual Registration.
- The matter involves an internal TD investigation from two years ago, where TD alleged forgery of a signature. I dispute this allegation as the document was not trade-related, did not involve money, and was unrelated to client trades.
- I left TD before the investigation concluded and am now concerned about how this disclosure may impact my future CIRO registration.

Requirements:
- Review my Form 33-109F1.
- Provide advice on options and next steps.
- Advise whether I should contact CIRO or TD before pursuing another securities registration.

Ideal Skills:
- Experience with CIRO/OSC registration processes.
- Expertise in securities regulatory compliance.
- Legal consultation experience in similar cases.
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