1. Nature of business
Capital Reza Inc. (“the Corporation”) is in the business of providing advisory and consulting services to institutions and family offices. The Corporation’s principal areas of practice are listed on this website. The Corporation derives 100% of its operating revenue from fees received from its clients for agreed-upon consulting services.
2. Regulatory status and exclusions
The Corporation is neither a broker-dealer nor a fund manager. It does not solicit, execute, or facilitate securities transactions, nor does it manage investment funds or assets on behalf of third parties. While the Corporation may invest its own equity or surplus funds for its own account, it does not manage, advise on, or execute investments on behalf of clients or any third parties.
Capital Reza Inc. is not a financial institution as defined in the Bank Act (S.C. 1991, c. 46) and is not a member of the Canadian Investment Regulatory Organization (CIRO).
3. Confidentiality and professional standards
Officers, employees, contractors, and external subject matter experts of the Corporation (collectively, “the Associates”) are contractually bound to preserve the absolute confidentiality of all proprietary, privileged, or confidential client information. The Associates are strictly prohibited from sharing such information with any third party without the express written consent of an authorized representative of the client. The sole exception to this policy is where the disclosure of such information is mandated by applicable law. The Corporation has implemented a voluntary compliance framework based on the guidelines provided in the CFA Institute Code of Ethics and Standards of Professional Conduct.
4. Conflicts of interest disclosure and restriction on insider trading
Prior to the commencement of any consulting assignment, the Corporation requires the Associates to disclose any existing or potential conflicts of interest. Furthermore, whenever Associates have access to material non-public information (MNPI) related to publicly traded companies, Capital Reza Inc. strictly requires them to refrain from directly or indirectly trading in the securities of such companies.
5. Limitation of liability
Other than those liabilities expressly specified in a duly executed contract for services, Capital Reza Inc. assumes no liability whatsoever for any direct, indirect, or consequential loss arising out of the implementation or non-execution of the consulting advice provided to its clients.