Practices: Financial Professional
Alexander Holburn Beaudin & Lang LLP’s Financial Professional Practice advises and represents a wide range of financial services clients in matters ranging from business structuring, risk management and professional development activities to professional discipline proceedings and the conduct of civil litigation.
We have extensive experience acting for the following financial professionals:
Services we frequently provide to our financial services clients include:
Most problems are best resolved before they ever start. We believe in taking a proactive, structured approach to helping our clients create practice arrangements, systems and processes to increase profitability, minimize risk exposure, foster ongoing compliance with relevant professional requirements, and identify and resolve potential liability or discipline issues at the earliest opportunity.
Our risk management & loss prevention work includes:
We believe that increasing the knowledge base of our professional clients is the best defence against future professional disciplinary problems or issues. In support of this view, we have created a variety of professional development training programs. We provide basic introductions to the law of contract, tort, vicarious liability, limitation periods, how negligent misrepresentation works, and fiduciary obligations.
In addition, we also provide free ongoing seminars and in-service courses for our professional clients to assist them in fulfilling their ongoing professional development and accreditation requirements. For example, we provide seminar instruction on insurance and general risk management issues as part of the Professional Development program for the Institute of Chartered Accountants of British Columbia.
David Wende is also a frequent lecturer to a range of industry groups on loss control issues and professional responsibility.
We understand that as a financial professional, you are a trusted advisor.
Your professional reputation is not just a key business asset; it also forms part of your personal identity. In short, your reputation matters. Therefore, when your role is challenged or criticized, any involvement with discipline or litigation proceedings can only cause significant personal stress.
Where a client requires our services as defense counsel we acknowledge the stress attributable to involvement with disciplinary or legal proceedings and we work to minimize the impact this stress can have on your working life and personal well-being.
Our group acts in all aspects of professional discipline in the financial professional community, helping members of professional groups assess, manage and, when necessary, defend professional disciplinary proceedings. We provide diligent and experienced counsel in the conduct of disciplinary proceedings and the defence of professional reputations.
The lawyers in our group have the experience and educational background to communicate effectively in the professional financial community. David Wende is the group contact and has acted as defense counsel for financial professionals, has experience as counsel to the professional disciplinary tribunal of the Institute of Chartered Accountants for British Columbia and currently acts as the prosecutor for the Institute.
Members of our group are active members in a wide range of financial services industry associations and organizations. We frequently write and teach courses for the Institute of Chartered Accountants of British Columbia on professional liability and risk management issues, and speak on risk management and insurance matters before the Canadian Tax Federation.
David Wende*
Direct Line: 604.484.1795 
