Applicable securities laws require securities dealers, advisors, and investment fund managers to take reasonable steps to identify and respond to existing material conflicts of interest and those that TRIASIMA in its reasonable opinion would expect to arise between the firm and individuals acting on its behalf and a client.
TRIASIMA takes reasonable steps to identify and respond to any existing material conflicts of interest that in its reasonable opinion would expect to arise, between the firm, including each individual acting on the firm's behalf, and a client. There are two main aspects considered:
Managed account transactions: As a registered advisor, we must not knowingly cause an investment portfolio managed by us, including an investment fund for which we act as an advisor, to purchase a security of an issuer in which a responsible person is a partner, officer or director unless it is disclosed to the client and written consent is obtained before the purchase.
Related and connected securities: We must not make a recommendation to buy, sell, or hold a security issued by TRIASIMA or of a related issuer or, during the security’s distribution, a security of a connected issuer of TRIASIMA unless certain conditions are fulfilled.