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Compliance

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)
  • Investment Industry Regulatory Organization of Canada (IIROC)

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.