Protection

Regulation

Gamma Wealth Management Inc.

Autorité des marchés financiers (AMF)

Other financial services commissions

Verification

An audit of our books and records is conducted by an independent firm, PricewaterhouseCoopers (PwC), each year.

More about PwC

A Compliance Department enforcing regulatory requirements to protect investors
The Compliance Department monitors compliance with all regulations and laws governing investment funds and securities, as well as PEAK's internal policies and procedures. This department develops compliance tools such as the Client Record, which allows Advisors to have a thorough understanding of their clients' investment objectives and risk tolerance.

Protection of the sums invested

Seamless transaction traceability thanks to transactional platforms
All client transactions transmitted by the Advisors are processed by the Operations Department at PEAK via transactional platforms allowing for seamless traceability.

Who acts as trustee of the PEAK registered plans?
TD Canada Trust acts as trustee for all of our registered plans, and as such, cash held in these accounts is protected by the Canada Deposit Insurance Corporation (CDIC). As such, all monies entrusted to us are deposited directly with our trustee to settle transactions.

Easy monitoring of investments and returns by clients
Account statements are regularly sent to clients by PEAK and are available online. All investments and transactions are also available online.

In addition, clients receive a statement from each fund company with which they hold investments.

Insurance protecting against loss of securities and internal computer fraud
Entities purchase insurance from financial institutions protecting against loss of securities, internal computer fraud, etc.

Requirements for all PEAK affiliated advisors

PEAK's Compliance Department conducts a detailed review of each Advisor's file before signing any agreement with the Advisor wishing to work with the PEAK dealer. Very specific study criteria are applied, leading to the study of the Advisor's professional history.
The Advisors of both mutual fund brokers take out liability insurance covering professional misconduct. This is a regulatory requirement in order to maintain a licence with the regulatory authorities.

For inquiries about your coverage

Consult your PEAK Financial Advisor or contact the head office of PEAK Financial Group.

If you are a customer who wishes to file a complaint with PEAK, please consult the following link:

Summary of PEAK Investment Services' procedures for handling complaints

Verification

An audit of our books and records is conducted by an independent firm each year.

A Compliance Department enforcing regulatory requirements to protect investors
The Compliance Department monitors compliance with all regulations and laws governing investment funds and securities, as well as Gamma Wealth Management Inc.'s internal policies and procedures. This department develops compliance tools such as the Client Record, which allows Advisors to have a thorough understanding of their clients' investment objectives and risk tolerance.

A compliance audit is carried out by an independent firm, Richter, every year.

More about Richter

Protection of the sums invested

Seamless transaction traceability thanks to transactional platforms
All client transactions transmitted by the Advisors are processed by the Operations Department at PEAK via transactional platforms allowing for seamless traceability.

Who acts as trustee of the PEAK registered plans?
TD Canada Trust acts as trustee for all of our registered plans, and as such, cash held in these accounts is protected by the Canada Deposit Insurance Corporation (CDIC). As such, all monies entrusted to us are deposited directly with our trustee to settle transactions.

Easy monitoring of investments and returns by clients
Account statements are regularly sent to clients by PEAK and are available online. All investments and transactions are also available online.

In addition, clients receive a statement from each fund company with which they hold investments.

Insurance protecting against loss of securities and internal computer fraud
Entities purchase insurance from financial institutions protecting against loss of securities, internal computer fraud, etc.

Requirements for any financial planner affiliated with Gamma Gestion de Patrimoine

Gamma Wealth Management's Compliance Department conducts a detailed study of each financial planner's file before signing any agreement with the financial planner wishing to work with our company. Highly specialized study criteria are applied, leading to the study of the financial planner's professional history.


For inquiries about your coverage

Consult your financial planner or contact the head office of Gamma Wealth Management.

If you are a client who wishes to file a complaint with Gamma Gestion de Patrimoine, please consult the following link:

Summary of Gamma Wealth Management Inc.'s Complaint Handling Procedures
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