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) The Investment Industry Regulatory Organization of Canada (IIROC) 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 IIROC 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 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) 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. IIROC AdvisorReport Resources I'm looking for Important Documents Client Guides Checklists Important Documents Client Guides Checklists Your 2022 Tax Return – Tax Reporting Information HISA INFORMATION The Safe-Keeping of your Assets NBIN Best Execution Public Disclosure Statement Accounts and Services Agreement and Disclosures Introducing/carrying broker disclosure statement Your 2022 Tax Return – Tax Reporting Information Published: December 2, 2022 To help you complete your income tax return, the following document is an overview of the most common Canadian tax slips. HISA INFORMATION Published: November 2, 2022 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 The Safe-Keeping of your Assets Published: October 30, 2020 PWL Capital is structured such that all your assets are held in accounts in your name by our carrying broker, National Bank Independent Network. When you deposit money to your accounts, the cheque is made out to NBIN, never PWL. Any movements of funds or securities in or out of your accounts can only be executed with your written authorization. Personal Wealth NBIN Best Execution Public Disclosure Statement Published: September 4, 2018 The following are recent changes to the NBF Best Execution public disclosure statement, which will be noted in this section for your reference, and will be maintained for at least the next 6 months Personal Wealth Accounts and Services Agreement and Disclosures Published: September 4, 2018 Accounts and Services Agreement and Disclosures For Clients of Introducing Brokers Personal Wealth Introducing/carrying broker disclosure statement Published: September 4, 2018 National Bank Independent Network (NBIN) is a division of National Bank Financial Inc. (NBF Inc.), as well as a trademark owned by National Bank of Canada (NBC) that is used under license by NBF Inc. Your 2022 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 HISA INFORMATION Learn More The Safe-Keeping of your Assets Summary PWL Capital is structured such that all your assets are held in accounts in your name by our carrying broker, National Bank Independent Network. When you deposit money to your accounts, the cheque is made out to NBIN, never PWL. Any movements of funds or securities in or out of your accounts can only be executed with your written authorization. Learn More NBIN Best Execution Public Disclosure Statement Summary The following are recent changes to the NBF Best Execution public disclosure statement, which will be noted in this section for your reference, and will be maintained for at least the next 6 months Learn More Accounts and Services Agreement and Disclosures Summary Accounts and Services Agreement and Disclosures For Clients of Introducing Brokers Learn More Introducing/carrying broker disclosure statement Summary National Bank Independent Network (NBIN) is a division of National Bank Financial Inc. (NBF Inc.), as well as a trademark owned by National Bank of Canada (NBC) that is used under license by NBF Inc. Learn More HISA INFORMATION HISA INFORMATION Published: November 2, 2022 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 […] HISA INFORMATION 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
Your 2022 Tax Return – Tax Reporting Information Published: December 2, 2022 To help you complete your income tax return, the following document is an overview of the most common Canadian tax slips.
HISA INFORMATION Published: November 2, 2022 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 The Safe-Keeping of your Assets Published: October 30, 2020 PWL Capital is structured such that all your assets are held in accounts in your name by our carrying broker, National Bank Independent Network. When you deposit money to your accounts, the cheque is made out to NBIN, never PWL. Any movements of funds or securities in or out of your accounts can only be executed with your written authorization.
Personal Wealth NBIN Best Execution Public Disclosure Statement Published: September 4, 2018 The following are recent changes to the NBF Best Execution public disclosure statement, which will be noted in this section for your reference, and will be maintained for at least the next 6 months
Personal Wealth Accounts and Services Agreement and Disclosures Published: September 4, 2018 Accounts and Services Agreement and Disclosures For Clients of Introducing Brokers
Personal Wealth Introducing/carrying broker disclosure statement Published: September 4, 2018 National Bank Independent Network (NBIN) is a division of National Bank Financial Inc. (NBF Inc.), as well as a trademark owned by National Bank of Canada (NBC) that is used under license by NBF Inc.
HISA INFORMATION Published: November 2, 2022 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