Regulatory Compliance
Committed to the highest standards of regulatory compliance and professional conduct
Regulatory Registrations
Registered
Canadian Securities Administrators (CSA)
National securities regulation coordination
Member
Investment Industry Regulatory Organization of Canada (IIROC)
Investment dealer and trading activity oversight
Registered
Ontario Securities Commission (OSC)
Provincial securities regulation
Registered
Autorité des marchés financiers (AMF)
Quebec financial markets regulation
Compliant
Financial Consumer Agency of Canada (FCAC)
Consumer protection in financial services
Compliant
Office of the Superintendent of Financial Institutions (OSFI)
Federal financial institution supervision
Compliance Standards
Glacier Point Insights adheres to comprehensive compliance standards that ensure the protection of our clients and the integrity of Canadian financial markets:
Anti-Money Laundering (AML) compliance
Know Your Client (KYC) procedures
Privacy Act and PIPEDA compliance
Proceeds of Crime (Money Laundering) and Terrorist Financing Act
CPA Canada professional standards
ISO 27001 information security certification
Audit & Oversight
Our compliance program includes:
- Annual third-party compliance audits
- Quarterly internal compliance reviews
- Ongoing staff training and certification programs
- Regular regulatory reporting and disclosure
Questions About Compliance?
Our compliance team is available to answer your questions and provide documentation.
compliance@glacierpointinsights.ca
+1 (416) 555-0100
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