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Portfolio Management
Association of Canada

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ETHICAL STANDARDS

Our Clients Come First

Integrity, transparency, competence
and confidentiality let you sleep at night.

Compliance and Integrity: Our firm is registered through the National Registration Database and National Instrument 31-103 to operate as discretionary portfolio managers, and is licensed with regulatory authorities in Canada including L’Authorité des Marchés Financier (AMF) in Quebec, the Ontario Securities Commission (OSC), the British Columbia Securities Commission (BCSC) and the Alberta Securities Commission (ASC). We apply the CFA Code Of Ethics & Standards Of Professional Conduct which represents the highest ethical standards in the financial industry, ensuring that we operate with the utmost integrity and respect. Our fiduciary duty to always act in the best interests of our clients. 

Transparency and Custody: Clients always have direct access to their portfolio holdings. Safekeeping of securities is arranged with third party insured custodians such as National Bank Financial, Canaccord Genuity, BMO Financial and Merrill Lynch.

Competence and Conflicts: As objective and independent portfolio managers, the only remuneration we receive is from our management and performance fees. This ensures that our compensation is directly tied to the value and growth of our clients’ portfolio. We do not sell or recommend any third party investment products for which we receive commissions, and are therefore free from any conflicts of interest.

Confidentiality: Strict security measures are in place to safeguard client information and ensure that it is treated with the utmost confidentiality.