FundEX Investments/Investia Financial Services Inc. Pierre-Bertrand Blvd., Suite Quebec City, QC G2J 0B4 Telephone: Fax: This Compliance Manual is meant to allow the Firm to maintain supervisory procedures that shall be reasonably designed to achieve compliance with the Act, the Code, and other applicable laws, Code, and rules of self-regulatory organizations. Such supervisory systems must be written and submitted to the Commissioner upon registration. FundEX Website Compliance. Commissions, trailing commissions, management fees and expenses all may be associated with mutual fund investments. Please read the simplified prospectus before investing. Mutual funds are not guaranteed and are not covered by the Canada Deposit Insurance Corporation or by any other government deposit insurer. There.
FundEX Investments/Investia Financial Services Inc. Pierre-Bertrand Blvd., Suite Quebec City, QC G2J 0B4 Telephone: Fax: former FundEX Representatives) for updates to this manual, as well as to review weekly compliance communications. Investia’s ompliance Department (“Head Office ompliance”) will provide Representatives assistance in understanding compliance with laws and regulations. Investia also invite its Representatives to. The Health Resources and Services Administration (HRSA)/Bureau of Primary Health Care (BPHC) has revised the Health Center Program Compliance Manual (Compliance Manual), which was originally issued in August , to reflect the amended statute. View a list of revisions and the relevant Compliance Manual chapter and section (s) impacted (PDF.
13 de jun. de He worked as a mutual fund salesperson with FundEX Investments from also misled HSBC on its quarterly compliance certificate by telling. News Events: PMAC Toronto Regulatory Compliance Forum – September 19th to Act as Trustees ▫ ASC Publishes Checklist for EMD Compliance Manuals. Compliance Committee. Entity in charge of overseeing compliance with and adhesion to the laws, regulations, manuals, including this Manual and Code.
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