About Us

About Risk Management Services Inc.

Douglas Fox is the founder and principal of Risk Management Services Inc. (“RMS”).  Risk Management Services Inc. was established in 2002 to provide dispute resolution, registration and compliance consulting services to the securities industry and the public.  Since its inception, RMS has provided the expertise necessary to help its clients manage the complex regulatory issues they encounter with optimal results and customer satisfaction.

RMS has grown to a complement of employees and contractors to include expertise in all facets of regulatory compliance. RMS serves clients in Canada, the United States and the Caribbean. For a full description of the team and our expertise please refer to the “Our Team” page.

RMS offers a wide range of compliance and risk management consulting services:

  • New Start-Up Firms/Membership Applications (IIROC; PM; EMD; IFM)
  • 90 and 30 Day Training Programs
  • Business Conduct Compliance Services
  • Complaint Resolution
  • Expert Witness Reports
  • Litigation Support
  • Anti-Money Laundering Compliance Support; Training and Audit Services

RMS carries corporate liability insurance for on-site liability (which may be required in your lease covenants) and errors and omissions insurance. All coverage extends to the employees and contractors of RMS.

Whether confronting complex regulatory issues, difficult securities disputes, or comprehensive industry projects, RMS offers services and solutions to help you deal with today’s regulatory challenges.