Mutual fund dealers in the province of Québec are regulated by the Autorité des marchés financiers (AMF).
Dealing Representatives in Québec must be members of the Chambre de la sécurité financière (CSF).
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Dealing Representatives in Québec must be members of the Chambre de la sécurité financière (CSF).
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Non-SRO market participants are directly regulated by the provinces and territories:
* Scholarship Plan Dealers * Exempt Market Dealers * Investment Counsels / Portfolio Managers * Investment Fund Managers
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* Scholarship Plan Dealers * Exempt Market Dealers * Investment Counsels / Portfolio Managers * Investment Fund Managers
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Investor Protection Funds
Firms registered in the capital markets must maintain a strong financial position, which is monitored by the securities regulators and SROs, the same for the members of the MFDA and IIROC.
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Firms registered in the capital markets must maintain a strong financial position, which is monitored by the securities regulators and SROs, the same for the members of the MFDA and IIROC.
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Investor Protection Funds
If a firm fails, investors of the investor protection funds are covered for any losses (up to maximum coverage levels) as a result of the insolvency:
*** Investor Protection Fund (MFDA IPC): For MFDA Members
*** Canadian Investor Protection Fund (CIPF): For IIROC Members
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If a firm fails, investors of the investor protection funds are covered for any losses (up to maximum coverage levels) as a result of the insolvency:
*** Investor Protection Fund (MFDA IPC): For MFDA Members
*** Canadian Investor Protection Fund (CIPF): For IIROC Members
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The dispute resolution services from OBSI are available if:
*** After 90 days from the complaint, the dealer has not provided a substantive response and the client notifies OBSI that they wish to have the complaint considered by OBSI.
*** Within 180 days of the client's receipt of the substantive response and the client notifies OBSI that they wish to have the complaint considered by OBSI.
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*** After 90 days from the complaint, the dealer has not provided a substantive response and the client notifies OBSI that they wish to have the complaint considered by OBSI.
*** Within 180 days of the client's receipt of the substantive response and the client notifies OBSI that they wish to have the complaint considered by OBSI.
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The dispute resolution services from OBSI:
*** Clients can only access the dispute resolution services of OBSI, where their claim is no greater than $350,000.00.
*** If OBSI decides in favour of the client, it has the authority to recommend that the firm compensate the investor up to a limit of $350,000.
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*** Clients can only access the dispute resolution services of OBSI, where their claim is no greater than $350,000.00.
*** If OBSI decides in favour of the client, it has the authority to recommend that the firm compensate the investor up to a limit of $350,000.
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Anti-Money Laundering/Terrorist Financing (AMLTF) requirements are codified in the following instruments:
*** Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA)
*** Proceeds of Crime (Money Laundering) and Terrorist Financing (PCMLTF) Regulations
*** FINTRAC Guidelines
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*** Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA)
*** Proceeds of Crime (Money Laundering) and Terrorist Financing (PCMLTF) Regulations
*** FINTRAC Guidelines
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Anti-Money Laundering/Terrorist Financing (AMLTF) Requirements for the Financial Sector:
1. Establish an effective compliance regime
2. Appoint an AMLTF Compliance Officer
3. Identify clients
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1. Establish an effective compliance regime
2. Appoint an AMLTF Compliance Officer
3. Identify clients
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Https://ABCFinancialAdvisor.com
647-830-8080
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Anti-Money Laundering/Terrorist Financing (AMLTF) Requirements for the Financial Sector:
4. Conduct surveillance to detect improper activities including: * Large transaction reviews * Suspicious transaction reviews * Terrorist property reviews
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4. Conduct surveillance to detect improper activities including: * Large transaction reviews * Suspicious transaction reviews * Terrorist property reviews
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647-830-8080
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Anti-Money Laundering/Terrorist Financing (AMLTF) Requirements for the Financial Sector:
5. File surveillance reports including: * Suspicious Transaction Reports * Large Cash Transaction Reports * Terrorist Property Reports * Monthly Suppression of Terrorism and UN Sanctions Reports
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5. File surveillance reports including: * Suspicious Transaction Reports * Large Cash Transaction Reports * Terrorist Property Reports * Monthly Suppression of Terrorism and UN Sanctions Reports
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Personal Information Protection and Electronic Documents Act (PIPEDA):
*** Personal information must be collected for a reasonable purpose and with consent.
*** Personal information must be used for the purpose consented, and limit the collection, use, and disclosure.
*** Individuals must have a right to correct any inaccuracies.
*** Companies must store personal information securely.
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*** Personal information must be collected for a reasonable purpose and with consent.
*** Personal information must be used for the purpose consented, and limit the collection, use, and disclosure.
*** Individuals must have a right to correct any inaccuracies.
*** Companies must store personal information securely.
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Personal information
* Name * Date of birth * Address * Telephone number * Gender * Physical description (e.g. height, weight, eye color) * Identification numbers (e.g. social insurance number) * Income * Education * Employment * Blood type * Credit records * Loan records * Existence of a dispute between consumer and merchant * Intention to acquire goods or services * Visual images and videotapes
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* Name * Date of birth * Address * Telephone number * Gender * Physical description (e.g. height, weight, eye color) * Identification numbers (e.g. social insurance number) * Income * Education * Employment * Blood type * Credit records * Loan records * Existence of a dispute between consumer and merchant * Intention to acquire goods or services * Visual images and videotapes
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Personal information does NOT include the below information:
* Name * Business title * Business address * Business telephone
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* Name * Business title * Business address * Business telephone
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National Do Not Call List (DNCL)
Individuals must signs up to have their home phone, mobile, or fax number included on the list, to prevent telemarketers make unsolicited calls to the number.
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Individuals must signs up to have their home phone, mobile, or fax number included on the list, to prevent telemarketers make unsolicited calls to the number.
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National Do Not Call List (DNCL)
*** Businesses are also allowed to continue calling clients up to 18 months after a client has ceased to do business with them.
*** Unsolicited calls to offer new services or products are not permitted if they are on the DNCL.
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*** Businesses are also allowed to continue calling clients up to 18 months after a client has ceased to do business with them.
*** Unsolicited calls to offer new services or products are not permitted if they are on the DNCL.
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Canada’s Anti-Spam Law (CASL)
*** Regulate the transmission of Commercial Electronic Messages (CEMs).
*** Deal with other electronic threats to commerce, such as malware and the harvesting of electronic address and personal information.
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*** Regulate the transmission of Commercial Electronic Messages (CEMs).
*** Deal with other electronic threats to commerce, such as malware and the harvesting of electronic address and personal information.
Book your consultation at
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647-830-8080
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The US Foreign Account Tax Compliance Act (FATCA)
*** US legislation meant to target certain US taxpayers suspected of tax evasion by investing offshore.
*** Identify and report to CRA the accounts held by clients, who are a US person for US tax purposes.
Book your consultation at
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*** US legislation meant to target certain US taxpayers suspected of tax evasion by investing offshore.
*** Identify and report to CRA the accounts held by clients, who are a US person for US tax purposes.
Book your consultation at
Https://ABCFinancialAdvisor.com
647-830-8080
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The US Foreign Account Tax Compliance Act (FATCA)
*** US legislation meant to target certain US taxpayers suspected of tax evasion by investing offshore.
*** Identify and report to CRA the accounts held by clients, who are a US person for US tax purposes.
Book your consultation at
Https://ABCFinancialAdvisor.com
647-830-8080
#ABCFinancialAdvisor #Canada #Toronto #Vancouver #FinancialServices #FinancialAdvisor #FinancialAdvice #FinancialPlanning #RetirementPlanning #InvestmentManagement #Investment #Investing #Investor #Invest #Money #MoneyManagement #MutualFunds #RRSP #RESP #RDSP #TFSA #InsuranceManagement #InsurancePlanning #LifeInsurance #Insurance #InsuranceSpecialist #EstatePlanning #Estate #Financial #WealthManagement
*** US legislation meant to target certain US taxpayers suspected of tax evasion by investing offshore.
*** Identify and report to CRA the accounts held by clients, who are a US person for US tax purposes.
Book your consultation at
Https://ABCFinancialAdvisor.com
647-830-8080
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Legislations for new account openings:
1. Securities
2. Taxation
3. Privacy
4. Anti-money laundering and terrorist financing (AMLTF)
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1. Securities
2. Taxation
3. Privacy
4. Anti-money laundering and terrorist financing (AMLTF)
Book your consultation at
Https://ABCFinancialAdvisor.com
647-830-8080
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New account documents
* General Client information * Financial Know Your Client (KYC) information * Client Identification (ID) information * Privacy * Relationship Disclosure Information (RDI) * Information Applicable to the Account/Type
Book your consultation at
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* General Client information * Financial Know Your Client (KYC) information * Client Identification (ID) information * Privacy * Relationship Disclosure Information (RDI) * Information Applicable to the Account/Type
Book your consultation at
Https://ABCFinancialAdvisor.com
647-830-8080
#ABCFinancialAdvisor #Canada #Toronto #Vancouver #FinancialServices #FinancialAdvisor #FinancialAdvice #FinancialPlanning #RetirementPlanning #InvestmentManagement #Investment #Investing #Investor #Invest #Money #MoneyManagement #MutualFunds #RRSP #RESP #RDSP #TFSA #InsuranceManagement #InsurancePlanning #LifeInsurance #Insurance #InsuranceSpecialist #EstatePlanning #Estate #Financial #WealthManagement