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The CUSTOMIZED
COMPLIANCE MANUAL

Tailored for: 

  • Investment Counsel / Portfolio Managers (IC/PM's)
  • Mutual Fund Dealers Association Registrants (MFDA)
  • Hedge Fund Firms

  • prepare your firm before the regulator arrives

  • be fully prepared for the inevitable audit with bullet-proof
    policies, documentation and procedures

  • manual developed with clients who have been
    through an OSC audit

  • we customize a comprehensive manual to suit your own firm

  • save over 120 hours of senior management development time


Specifically tailored for
Investment Counsel & Portfolio Managers, 
MFDA Registrants, Hedge Fund Firms











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Invest in our experience with regulatory compliance, performance verification
and market positioning for the Canadian Investment Management Industry.

The compliance manual covers the following areas:

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  • Compliance and Internal Controls
  • Books and Records
  • Allocation of Trades
  • Conflicts of interest
  • Change of Control of the Advisor
  • Custody
  • Portfolio Management Standards
  • Disclosure
  • Performance Calculation
  • Personal Trading
  • Advisory Agreements
  • Fiduciary Responsibilities
  • Early Warning Reporting
  • Insider Trading
  • Proxy Voting
  • Client Reporting
  • Soft Dollar Arrangement
  • Referral Arrangements
  • Best Price and Execution
  • Sales Practices
  • Advertising and Marketing
  • Know your Client-


We customize your manual to suit your firm's particular needs


For more information on The Customized Compliance Manual, please call
J. Michael Lowry, Managing Director
(affiliate member of the TSFA)
(905) 281-2616 or toll free 1-877-We-Verify (1 877 938-3743) 
Fax (905) 897-9210
89 Queensway West, Suite 226, Mississauga, ON Canada L5B 2V2
e-mail: info@investorschoice.ca. website. http://www.investorschoice.ca