Compliance Memo

Compliance Memorandum 2013-13; 2014 Financial Advisor Annual Declaration of Compliance

For more information, contact:

Compliance Team
compliance@gpwealth.ca

Date Issued:

November 27, 2013

As part of your license renewal process, financial advisors and licensed assistants are required to complete the 2014 Financial Advisor Annual Declaration of Compliance.
The 2014 Financial Advisor Annual Declaration of Compliance will serve to confirm that you, the financial 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 by clicking on the “Resources” section of the GP website, under GP Wealth Forms, in the “Other Forms” section. For your convenience, click here to retrieve the form.

All financial advisors and licensed assistants are required to complete the Annual Compliance Declaration and provide it to the compliance department no later than December 31, 2013.

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