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Mid-Sized Canadian Financial Services Firm Capital Markets Division
Situation - With operations in UK, US and Canada, they needed to develop - and gain consensus around - a global policy that permitted the use of research developed in any jurisdiction to be distributed to investment clients in all other jurisdictions.
Approach - DSLCS first developed a draft document for Canada, then assessed the existing policies of each subsidiary comparing them with the regulatory bodies in all three jurisdictions. We outlined where key differences existed and developed a process and document to assist the Heads of Research of the three subsidiaries determine which
Resolution - The client successfully implemented the global policy, applied for and was successfully in compliance with IDA Policy 11, FSA COB Chapters 2, 5 and 7, and NASD 2711
Toronto-Based Financial Services Firm Mortgage Division
Situation - A company that experienced significant organic growth, found itself in the position where it consistently used three separate brands that caused confusion in the market place.
Approach - Determine which brands were most closely related to which functions, confirmed ownership structure and requirements of the brands, and then developed marketing materials, a new Website, and strategic partner materials - as well as an over-riding policy to govern the use of the brands.
Resolution - Established internal and external consistency in the branding message and reduced confusion in the market place for each brand.
Entrepreneurial Canadian Company Advertising & Promotions
Situation - A start-up company faced the situation where it needed to cover the losses incurred from a fraudulent partner.
Approach - The client satisfied criteria for funding through a division of Industry Canada.
Resolution - DSLCS assisted with the development of a business plan and helped the client achieve 75% of the target funding requirements.
- AirAd Inc.
- The Calum Ross Team
- Canaccord Capital Corporation
- CDI Education Services
- CGI
- Digital 4Sigh
- F.A.S.T. Rescue
- Glaxo SmithKline
- Inkjet Auto Refill Systems, Inc.
- The Manton Group
- The Mortgage Centre, Mortgage Professionals, Inc.
- Royal Bank Growth Corporation
- Royal Bank Ventures
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DSLCS | 62 Twenty-Seventh Street | Etobicoke, Ontario, Canada M8W 2X4 | 416-802-2526 | information@dslcs.com