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Welcome to Risk Management Services Inc. (“RMS”),
your partners in compliance.
Our Company at a Glance
(i) Mission
To provide exceptional compliance and risk management consulting services to
the securities industry and the public
(ii) Products & Services
RMS offers a wide range of compliance and risk management consulting
services:
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New Start-Up Firms/Regulatory Membership Applications
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New Financial Advisor Training
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Sales Compliance Services
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Complaint Resolution
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Expert Witness Reports
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Litigation Support
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Derivatives Consulting
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AML Compliance & Audits
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Registration Services- Firm; individual;
officers; directors; provincial; extra-provincial registration services.
(iii) Our Value Proposition
Participants in the capital markets face many challenges in today’s marketplace including increased regulation, investment product complexity, and the
need to manage investor confidence. RMS offers a wide range of compliance
and risk management consulting services. Highly respected in the securities industry, RMS has a reputation for
integrity and service excellence. Our team of experienced compliance experts
provides you with the advice, support, and resources you need to meet the
challenges of today’s regulatory environment.
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