Compliance

Jennifer Vachon, PWL’s 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)
  • The Investment Industry Regulatory Organization of Canada (IIROC)
  • Centre for Fiduciary Excellence, LLC (CEFEX)
  • Global Association of Independent Advisors (GAIA)

Chief Compliance Officer:

Jennifer Vachon
PWL Capital Inc.
3400 de Maisonneuve Ouest, Suite 1501
Montreal, Quebec H3Z 3B8
Tel.: (514) 875-7566 x 294
1(800) 875-7566
Fax: (514) 875-9611
Email: jvachon@pwlcapital.com

Important Documents

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)
  • 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.

Compliance & Governance
People Raising Hands Asking Questions

Why So Many $&@*% Questions?

Whether you’re a new client or an existing one with a new action plan, you can’t wait to get started. Neither can we! But first – there’s just a teensy bit of paperwork to complete. Okay, I confess, it may be quite a lot of paperwork, with a lot of pretty personal questions.

Senior Director, Operations & Chief Compliance Officer
As Senior Director of Operations and Compliance, Jennifer plays a vital role in the company's day-to-day operations, monitoring all of the firm's investment-based activities. She ensures that all policies and procedures are followed, so that PWL operates with the strongest oversight and compliance practices.

Resources