Groupe Dupuis Paquin

Securities, financial products and services

The laws on securities and financial products and services are numerous and without any doubt complex. The Autorité des Marchés Financiers, the Chambre de la Sécurité Financière, the Investment Industry Regulatory Organization of Canada (IIROC) and the Office of the Superintendent of Financial Institutions (OSFI) are all agencies regulating the world of securities and financial products and services.

Whether you do business with a stockbroker, an investment adviser, a life insurer, a corporate insurer, a mutual fund dealer, financial planner or any individual responsible for managing your money, you may, at some point, question the legitimacy of some of their initiatives. This loss of trust usually coincides with the news that your assets have lost value.

In this case, you need to determine the responsibility of the individuals involved and, where malpractice can be established, you need assistance in your efforts to recover the funds lost. We can be efficient and result-oriented and yet remain sensitive and considerate throughout the whole process. Whether you are a business manager, a professional or an employee, we can very well understand how overwhelmed and infuriated the victims of financial crime may feel.

In this practice area, our team meets your needs in several ways, including:

  • Advice prior to investing in financial products;
  • Negotiation of investment agreements in financial products;
  • Informal dispute resolution with financial products and services providers;
  • Review of various investment contracts in financial products;
  • Representation in court in disputes with financial products and services providers.