Complaint Resolution

RMS offers an independent third party opinion on disputes to registrants and the public. As part of our Complaint Resolution process, we perform a thorough investigation and provide details on the following items:

• profit/loss performance;
• Standard of care obligations and opinions applicable to the matter;
• possible breaches of rules and regulations; and
• risks to the firm.

RMS can also provide recommendations on settlement strategies or resolutions involving disputes.

 

Expert Witness Reports and Litigation Support

RMS has extensive experience in securities litigation. Douglas Fox has provided expert evidence in nearly 200 legal cases and been qualified as an expert in the Ontario Superior Court of Justice; the Supreme Court of British Columbia; and the Supreme Court of the Commonwealth of the Bahamas.

Our analysis and investigation will encompass:

• Profit/loss calculations
• Opportunity costs/losses calculations
• Standard of care
• Breaches of Industry rules

 

Risk Management Assessment

RMS as an independent third party can provide registrants with an unbiased risk assessment of their derivatives operation. RMS will obtain an understanding of the operation and internal controls by reviewing existing risk management procedures and processes. Should we identify any areas of risk, we will recommend corrective action and preventative measures. RMS can provide either an Internal Control Document or  Policies and Procedures Document.

 

Complaint Resolution and Litigation

RMS provides expert services in both investigations and litigation. RMS are true “experts” who have extensive hands on experience in the Canadian derivatives market. Our practice is balanced between sharing our expertise with clients who are trying to avoid/solve problems and those who are litigating/investigating problems.

We are qualified to provide advice and testimony. RMS has been involved in investigations and disputes and has prepared expert reports and/or testified in nearly 200 cases.  RMS can assist our clients with the following aspects of the complaint process and/or litigation:

• Complaint Resolution 

  • Viability of derivative strategy
  • Risk/reward of option strategy

• Profit/loss analysis

• Suitability analysis – option strategy
• Recommendations – Written analysis

• Expert Witness Reports 

• Analysis and investigation
• Recommendations – Written analysis
• Attendance at examination for discovery/arbitration/trial

• Settlement Opinions

 

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