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Regulatory Information

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

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 clientsAccount 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

Before signing an agreement with an advisor seeking to work with PEAK, PEAK’s Compliance Department conducts a detailed examination of their records. Very detailed examination criteria are applied, including an examination of the advisor’s professional history and personal credit.

For more information regarding the advisors IIROC registration, please click here to access the IIROC Advisor Report. PEAK Securities Inc., an Investment Industry Regulatory Organization of Canada (IIROC) registered, Investment Dealer, limits its responsibility to investment products such as stocks, bonds, and mutual funds. PEAK Securities Inc. is a member of the Canadian Investor Protection Fund. You may access PEAK Securities Inc. privacy statement at www.peakgroup.com.

Material Conflicts of Interest Disclosure

The Material Conflicts of Interest Disclosure document is available to help you assess PEAK’s business practices, conflict management and overall performance so that you can make informed decisions about your relationship with PEAK.

PEAK Securities Material Conflicts of Interest Disclosure Document
PEAK Investment Services Conflicts of Interest Disclosure Document

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 Complaint Handling Procedures