Vault Compliance Law is a regulatory compliance advisory practice serving CCOs, executives, boards, and regulated firms across Canada.

Founder Darren Gross brings more than 20 years of experience as a CCO, regulatory counsel, and enforcement counsel — including senior roles at an independent Calgary investment firm, a major international cryptocurrency business and a large regional investment advisory firm. He has worked on both sides of the regulatory relationship: inside regulated firms and as counsel directly facing regulators.

Translating rules into defensible action.

WHO WE SERVE

— Chief Compliance Officers navigating complex regulatory obligations

— Executives and boards who are accountable for the oversight of regulated businesses

— Firms preparing for or responding to regulatory examination or enforcement

— Regulators seeking qualified counsel to assist firms under terms and conditions

WHAT WE DO

— Regulatory Compliance Counsel — ongoing advisory on securities, AML, and registrant obligations under CIRO, the CSA, and provincial regulators

— Compliance Monitoring — external reviews, gap assessments, and regulator-appointed monitoring engagements

— Regulatory Examination — preparation in advance of a visit and remediation after, including response strategy, document production, and deficiency resolution

— Policy and Procedures — drafting and editing manuals for Investment Dealers, PMs, IFMs, and EMDs

— Enforcement Response — representation and strategy when conduct is in question

— CCO Support & Advisory — regulatory compliance advisory for CCOs managing difficult judgment calls and regulatory accountability

If you're a CCO managing a difficult judgment call, a firm preparing for examination, or a board looking for independent assurance — we'd be glad to talk.

vaultcompliancelaw.ca | darren@vaultcompliancelaw.ca

Vault Compliance Law

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Vault Compliance Law

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