Compliance Memo

Compliance Memorandum 2013-03; Annual Compliance Declaration

For more information, contact:

Compliance Team
compliance@gpwealth.ca

Date Issued:

April 16, 2013

GP Wealth Management Corporation is introducing an Annual Compliance Declaration. This form will need to be completed by all advisors on an annual basis, and will become a part of your license renewal process.

The Annual Compliance Declaration will serve to confirm that you, the advisor, have received and read the policies and procedures of GP Wealth Management Corporation, that you are abiding by all applicable rules and regulations, that you have E&O insurance, that you have declared all of your Outside Business Activities, that you have completed the AML training and that you have met any Continuing Education requirements.

A copy of this form can be found in the Resources section of the GP website, under GP Wealth Management Forms, in the Other Forms section. For your convenience, click here to retrieve the form.

All advisors and licensed assistants are required to complete the Annual Compliance Declaration and provide it to the compliance department no later than April 30, 2013.

As always, if you have any questions or comments, contact the Compliance Department by email at compliance@gpwealth.ca.