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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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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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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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647-830-8080

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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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647-830-8080

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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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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
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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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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647-830-8080

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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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647-830-8080

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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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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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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
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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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
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
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
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
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