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Our services include a comprehensive consult to help identify gaps and opportunities, and results in a comprehensive report that includes a project plan with timelines a cost analysis. Our individualized plans are made up of quality services that will help you get there quickly and smoothly.
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Our services include a comprehensive consult to help identify gaps and opportunities, and results in a comprehensive report that includes a project plan with timelines a cost analysis. Our individualized plans are made up of quality services that will help you get there quickly and smoothly.
We work with a large number of clients from various industries, including:
Our experts are ready to assist you in developing viable plans that drive your business interests.
The legal concept of a fiduciary is exemplified by agent-principal and trustee-beneficiary relationships. The agent or trustee has absolute obligation to act for the sole benefit of the principal or beneficiary. A high standard is imposed on the fiduciary because he often has discretion over the interests of the beneficiary; thus, the beneficiary is reliant upon the fiduciary.
Existing legislation that applies a fiduciary standard to financial advisors but not broker-dealers. Because financial advisors and broker-dealers can both provide personalized investment advice or recommendations about securities to retail investors, different standards for each were confusing and could lead to regulatory arbitrage.
The fiduciary standard is comprised of:
A duty of loyalty, which prohibits advisors from putting their interests first by requiring conflicts of interest be avoided or disclosed
A duty of care, requiring advisors to determine that they are not basing recommendations on materially inaccurate or incomplete information, and to seek best execution of the clients’ securities transactions.
Over the years, some jurisdictional courts have considered relationships outside of the agent-principal and trustee-beneficiary categories and developed a principled approach to identifying situations in which a fiduciary duty is owed. Having considered the relationship between financial professionals and clients, the courts have clearly stated the relationship is not presumptively fiduciary.
A financial professional owes clients a duty of care. However, a fiduciary relationship, and all the attending obligations, may or may not exist, depending on the circumstances of the specific relationship. In addition to civil standards, there have been regulatory requirements for a number of years. Self-regulatory organizations (SROs) such as IIROC and the MFDA have included similar requirements in their rules.
IIROC Rule 29.1 requires that investment professionals observe high standards of ethics and conduct in the transaction of their business; not engage in any business conduct or practice which is unbecoming or detrimental to the public interest; and be of such character and business repute as is consistent with the standards of the rule. The MFDA has the same requirements, but also states explicitly that investment professionals under its jurisdiction must deal fairly, honestly and in good faith with their clients.
The duties imposed on investment professionals by the civil courts, the OSC and SROs provide important protections for investors. Securities regulatory agencies have proposed strengthening and enhancing regulations to further protect investors.
A peculiar fiduciary standard in Stallion Assurance?
The existing duties and obligations imposed on investment professionals, together with the operational rules, provide investors and clients with significant safeguards in their financial dealings with registered investment professionals. They are similar to the protections that would be afforded under the uniform fiduciary standard being proposed in the United States.
In many instances, the advice of investment professionals, while no doubt valued, is not relied upon or even followed by the client. Many individuals conduct their own research and analysis and take an active role in determining which investments to hold in their portfolio. In cases where a client is made aware of and is knowledgeable of the risks of a particular holding or strategy, investment professionals, who are not acting in the capacity of a true fiduciary, should not be held to the higher standard applicable to fiduciaries.
In civil actions, the imposition of a fiduciary standard may deprive the investment professional of certain defenses, including that the client is at least partially responsible for her own losses, or that the losses are attributable to market events rather than negligence.
Moreover, the damages that flow from a finding of breach of fiduciary duty can be higher than those flowing from a finding of negligence, in some cases significantly so. A blanket imposition of a fiduciary standard would ignore the realities of many advisor-client relationships. In this regard, Canadian regulators have taken the correct approach to enhancing investor protection.
Our Legal Department guarantees comprehensive legal support you and your company can trust.
Our legal team has a well-deserved reputation of excellence in providing smart, sensible, and cost-effective legal and business solutions for our clients.
Often, more than one area of expertise is required with international engagements. With our firm, there’s no need to hire a multitude of attorneys. We can advocate for you in many areas of law.
We serve a wide range of clientele, and every client relationship is valued greatly and treated with dignity and respect. Each engagement benefits from the depth and breadth of our expertise.
?Experience You Can Trust Your Business With
We guarantee effective and knowledgeable representation for you and your business. Our reputation and history of success with our clients and their business needs speaks for itself. There's no substitution for the best.
Dedicated and Loyal Agents
The complex, important, and often ground-breaking international business matters on which we work can attract the best and brightest agents and attorneys from around the world. And we've been lucky enough to hire and collaborate with the best of the best in business law.
We Treat You and Your Business with Respect
Whether your business is looking to get started or it's in need of some negotiation skills, you can rest assured that we’re going to help you. We’re committed to providing you with top notch legal support and knowledge. We approach every client with a focus on integrity, advocacy, and understanding.
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