The Customized Compliance Manual

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Tailored for:

Asset Managers / Portfolio Managers
Mutual Fund Dealers Association Registrants (MFDA)

• Manual developed with clients who have been through Securities regulators’ audits
• We customize a comprehensive manual to suit your own firm; save approximately 120 hours of senior management development time

• Prepare your firm before the regulator arrives
• Be fully prepared for the inevitable audit with bullet-proof policies, documentation and procedures

Invest in our experience with regulatory compliance, performance verification and market positioning for the Canadian Investment Management Industry.

The compliance manual covers the following areas:

• Compliance and Internal Controls
• Books and Records
• Allocation of Trades
• Conflicts of interest
• Change of Control of the Advisor
• Custody
• Portfolio Management Standards
• Disclosure
• Performance Measurement /Calculation
• Personal Trading
• Advisory Agreements

• Fiduciary Responsibilities
• Early Warning Reporting
• Insider Trading
• Proxy Voting
• Client Reporting
• Soft Dollar Arrangement
• Referral Arrangements
• Best Price and Execution
• Sales Practices
• Advertising and Marketing
• Know your Client


We customize your manual to suit your firm’s particular needs