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