Compliance Memo

Compliance Memorandum 2014-02; Updated Client Information Document

For more information, contact:

Compliance Team
compliance@gpwealth.ca

Date Issued:

May 4, 2014

The Client Information Document (“CID”) has been updated to reflect the changes detailed in the Portfolio and Suitability Guidelines, as well as to conform to additional regulatory requirements as part of the Client Relationship Model project from Canadian Securities Administrators. The updated CID can be downloaded or reviewed on your secured personal website by going to the “Resource Section” and clicking on “GP Wealth Forms”.

As a reminder, all Financial Advisors must provide a new client the “Client Information Document” (CID) and the “Acknowledgement” page must be signed at account opening. In addition, all existing clients that have not yet received the “CID” are frozen pending receipt of the signed “Acknowledgement” page.

Please discard any old CIDs you may have already printed and replace them with the new CID immediately.

Note that GPWM will no longer accept the old CID Acknowledgement Form after May 16, 2014.

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