CLIENTS

INVESTOR PROTECTION

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REGULATION

PEAK INVESTMENT SERVICES INC.

Autorité des marchés financiers (AMF)

Mutual Fund Dealers Association (MFDA )

PEAK SECURITIES inc.

Investment Industry Regulatory Organization of Canada (IIROC)
Member of the Canadian Investor Protection Fund (CIPF)

PEAK INSURANCE SERVICES inc.

Autorité des marchés financiers (AMF)
Other financial services commissions

Audit

PEAK Financial Group's entities are audited annually by various regulatory bodies. In addition, all entities are audited annually by our external auditor, PricewaterhouseCoopers (PwC) LLP.

Letter from external auditor PwC

« Learn more about PwC »

Our Compliance Department adheres to all rules and regulations governing investment funds, securities as well as PEAK's rigorous internal policies and procedures. This Department designs compliance tools such as the Know Your Client Form (KYC) which allows Advisors to understand and monitor their clients' investment objectives and risk tolerance.

Investments Protection

Traceability 
All client transactions are processed through PEAK's Operations Department via transactional platforms for ease of traceability process.

Who acts as a trustee for PEAK registered plans?
TD Canada Trust acts as a trustee for all of our registered plans and the cash amounts held in these accounts are protected by the Canada Deposit Insurance Corporation (CDIC). All amounts entrusted to us on behalf of clients are deposited with our Trustee to settle the transactions.

Easy monitoring of investments and returns by clients
Account statements are regularly sent to clients by PEAK. Clients can also consult their transactions and investments online.

Clients also receive reports from each fund company with which they have invested.

Insurance protection against on security certificates, internal computer fraud
The entities have financial institutions insurance to protect against the loss of security certificates, internal computer fraud ...

Required Conditions for all Affiliated PEAK Advisors

All Investment Advisors and Mutual Fund Representatives working with PEAK are registered with the applicable regulatory bodies (AMF, MFDA or IIROC).

The PEAK Compliance Department conducts a detailed examination of each Advisor's records before signing any agreement with an Advisor seeking to work with PEAK. Very detailed examination criteria are applied, also leading to an examination of the Advisor's professional history and personal credit.

Advisors subscribe to liability insurance covering professional errors and omissions. This is a regulatory requirement imposed by the regulatory bodies in order to maintain a license.

For any question regarding your protection

Contact your PEAK Advisor or the PEAK Financial Group's Head Office.

If you are a client wishing to make a complaint to PEAK please consult the following link: Summary of PEAK Investment Services Inc. (MFDA Member) Complaint Handling Procedures