The security and protection of your investments and your personal information is a top priority. First and foremost, custodial services for all clients’ accounts are provided by the National Bank Independent Network, a wholly owned subsidiary of the National Bank of Canada, the largest bank in Quebec and the 6th largest bank in Canada. For more information about NBIN, please click here.
Further, our Dealer firm, Aligned Capital Partners Inc. oversees our investment related activities and provides compliance, technology and account management services.
Aligned Capital Partners Inc. has published policies and procedures, for which we follow, including, but not limited to the handling of cash and securities. Where appropriate, ACPI will provide our team guidance in the areas of proper business record retention and ways to mitigate business and regulatory risks.
Custodial services for all clients’ accounts are provided by the National Bank Independent Network, a wholly owned subsidiary of the National Bank of Canada. For more information about NBIN and their role in being the custodian of your assets, please visit this link.
As a member of the Investment Industry Regulatory Organization of Canada (IIROC), Aligned Capital Partners Inc. is required to adhere to strict regulations regarding the protection of its clientele. Regulatory examiners conduct thorough compliance audits of the firm including examinations of marketing materials, trade suitability, disclaimers on documentation, and general operations to make sure that adherence to regulatory policies is consistent. Consequently, all advisors associated with ACPI are also subject to regulatory oversight to provide maximum protection to the end client.
Customers’ accounts are protected by the Canadian Investor Protection Fund within specified limits. A brochure describing the nature and limits of coverage is available upon request or at www.cipf.ca.