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Compliance & Governance

Personal Wealth
Anthony Layton
Anthony Layton

Learning from the no-contest fee settlements

PWL Capital
2017-11-13T10:00:55 November 13, 2017

There’s no free lunch in life. One way or another you pay for what you get. That’s certainly the case when it comes to your investments. You understand you have to pay for the advice, investment management and other services you get from your advisor.

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Personal Wealth
Anthony Layton
Anthony Layton

What is a fiduciary standard?

Jul 9, 2017
Personal Wealth
Personal Wealth
Anthony Layton
Anthony Layton

What is an IPS and why you need one

Jun 11, 2017
Personal Wealth
Personal Wealth
Anthony Layton
Anthony Layton

Why CEFEX Matters for PWL clients

Feb 21, 2017
Personal Wealth
Personal Wealth
Anthony Layton
Anthony Layton

Tony’s Take: BMO latest to announce excess-fee repayment

Dec 16, 2016
Personal Wealth
Compliance & Governance
Anthony Layton
Anthony Layton

Tony’s Take: CIBC’s fee settlement reinforces need for advisor ‘Client Best Interest’

Nov 4, 2016
Compliance & Governance
Compliance & Governance
Anthony Layton
Anthony Layton

Why fiduciary duty is an important asset for investment advisors in Canada

Jul 4, 2014
Compliance & Governance
Compliance & Governance
Anthony Layton
Anthony Layton

Response to Carrick video (March 2014)

May 8, 2014
Compliance & Governance

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PWL Capital
Investment Industry Regulatory Organization of Canada
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Portfolio Management and brokerage services are offered by PWL Capital Inc, which is regulated by Investment Industry Regulatory Organization of Canada (IIROC), and is a member of the Canadian Investor Protection Fund (CIPF).

Financial planning and insurance products are offered by PWL Advisors Inc., and is regulated in Ontario by Financial Services Commission of Ontario (FSCO) and in Quebec by the Autorité des marchés financiers (AMF). PWL Advisors Inc. is not a member of CIPF.

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