Compliance DOCUMENTS Menu DOCUMENTS DOCUMENTS Compliance Karine Deslandes, Chief Compliance Officer (CCO), exercises tight control over all business activities. Ensures all regulatory rules and internal policies are respected Conducts quarterly audits of managed accounts for: Portfolio asset mix drift compared to the IPS Securities within PWL portfolios Concentration risk within PWL portfolios PWL Capital Inc. is a member of: The Canadian Investor Protection Fund (CIPF) Canadian Investment Regulatory Organization (CIRO) Centre for Fiduciary Excellence, LLC (CEFEX) Global Association of Independent Advisors (GAIA) Chief Compliance Officer: Karine Deslandes PWL Capital Inc. kdeslandes@pwlcapital.com Tel.: 416-203-0067 x299 Toll-Free: 1-866-242-0203 Fax: 416-203-0544 8 Wellington Street East 3rd Floor Toronto (Ontario) M5E 1C5 Important Documents Strip bonds and strip bond packages information statement An Investor’s Guide to Making a Complaint How CIRO Protects Investors Canadian Investor Protection Fund (CIPF) Opening Your Retail Account Introducing/carrying broker disclosure statement Accounts and Services Agreement and Disclosures The Safe-Keeping of your Assets NBIN Best Execution Public Disclosure Statement Transaction and Adminstration Fees How Can I Get My Money Back? A Guide for Investors Privacy The Privacy Officer ensures that your personal information is safeguarded and that client confidentiality is respected at all times. PWL does not manufacture or distribute “in-house” products and therefore avoids conflicts of interest. We use the highest level of external and internal controls to monitor all portfolios. You can be sure your portfolio is being monitored by: Canadian Investor Protection Fund (CIPF) National Bank Independent Network (NBIN) Canadian Investment Regulatory Organization (CIRO) Internal controls: Under the supervision of the Chief Compliance Officer, the PWL team responsible for brokerage operations verifies each trade completed for each client’s account in accordance with regulatory requirements. Moreover, PWL’s Compliance Officer audits each managed account on a quarterly basis to ensure that the investments comply with the client’s signed investment policy. Small is safe We’re small enough to know everything that’s going on… with your advisor and with your investments. and have total control over all our market transactions and all activities of the firm. to audit, reconcile and approve all transactions. Every. Single. Day. 100% You don’t want to worry about your money. You want to get on with your life. That’s where we can help. CIRO Advisor Report Resources I'm looking for Important Documents Client Guides Checklists Important Documents Client Guides Checklists HISA INFORMATION An Investor’s Guide to Making a Complaint Strip Bond Information Statement Brochures Your 2023 Tax Return – Tax Reporting Information Accounts and Services Agreement and Disclosures How Can I Get My Money Back? A Guide for Investors HISA INFORMATION Published: March 13, 2024 The release of the Bill C-86 which introduced sweeping changes to the Bank Act’s consumer protection framework, involving key amendments related to selling practices and […] Personal Wealth An Investor’s Guide to Making a Complaint Published: February 16, 2024 IIROC: Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada. Strip Bond Information Statement Brochures Published: February 16, 2024 Your 2023 Tax Return – Tax Reporting Information Published: January 26, 2024 To help you complete your income tax return, the following document is an overview of the most common Canadian tax slips. Personal Wealth Accounts and Services Agreement and Disclosures Published: January 24, 2024 Accounts and Services Agreement and Disclosures For Clients of Introducing Brokers How Can I Get My Money Back? A Guide for Investors Published: January 24, 2024 HISA INFORMATION Learn More An Investor’s Guide to Making a Complaint Summary IIROC: Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada. Learn More Strip Bond Information Statement Brochures Learn More Your 2023 Tax Return – Tax Reporting Information Summary To help you complete your income tax return, the following document is an overview of the most common Canadian tax slips. Learn More Accounts and Services Agreement and Disclosures Summary Accounts and Services Agreement and Disclosures For Clients of Introducing Brokers Learn More How Can I Get My Money Back? A Guide for Investors Learn More HISA INFORMATION Strip Bond Information Statement Brochures HISA INFORMATION Published: March 13, 2024 The release of the Bill C-86 which introduced sweeping changes to the Bank Act’s consumer protection framework, involving key amendments related to selling practices and […] Strip Bond Information Statement Brochures Published: February 16, 2024 HISA INFORMATION Learn More Strip Bond Information Statement Brochures Learn More Protection Against Fraud Checklist Protection Against Fraud Checklist Published: April 20, 2017 This checklist provides information on additional steps that you can take to protect yourself from identity theft and fraud. Contributors Protection Against Fraud Checklist Summary This checklist provides information on additional steps that you can take to protect yourself from identity theft and fraud. Contributors Learn More
HISA INFORMATION Published: March 13, 2024 The release of the Bill C-86 which introduced sweeping changes to the Bank Act’s consumer protection framework, involving key amendments related to selling practices and […]
Personal Wealth An Investor’s Guide to Making a Complaint Published: February 16, 2024 IIROC: Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada.
Your 2023 Tax Return – Tax Reporting Information Published: January 26, 2024 To help you complete your income tax return, the following document is an overview of the most common Canadian tax slips.
Personal Wealth Accounts and Services Agreement and Disclosures Published: January 24, 2024 Accounts and Services Agreement and Disclosures For Clients of Introducing Brokers
HISA INFORMATION Published: March 13, 2024 The release of the Bill C-86 which introduced sweeping changes to the Bank Act’s consumer protection framework, involving key amendments related to selling practices and […]
Protection Against Fraud Checklist Published: April 20, 2017 This checklist provides information on additional steps that you can take to protect yourself from identity theft and fraud. Contributors