Bullet-Proofing Your Business
Disclosure
This statement should detail:
The companies you deal with
How you are paid
Whether any conflict of interest exists
This letter should be given to every client and a signed copy should be kept in the client file
CLHIA Advisor Disclosure Guidelines
Compliance Regime
Your Compliance Regime must include:
The appointment of a Compliance
Officer
The development and application of
written compliance policies and procedures
The assessment and documentation of
risks for money laundering and terrorist financing and measures to mitigate
high risks
Implementation and documentation of an
ongoing training program
A documented review of the
effectiveness of policies and procedures, training program and risk assessment.
PIPEDA - Privacy
Request for Personal Information Form
Broker Code of Conduct
Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF)
AML/ATF Guidance Manual
Compliance.pdf
FINTRAC Fact Sheet
General Information
Consent Statement - Advisor Information