Compliance Memo

CM_2020-01; Financial Advisor Annual Declaration of Compliance

For more information, contact:

Compliance Team
compliance@gpwealth.ca

Date Issued:

January 6, 2020

In connection to your registration, you are required to review and sign the Financial Advisor Annual Declaration of Compliance . Please provide your signed Declaration to the Compliance Department by no later than February 1, 2020.

The 2020 Financial Advisor Annual Declaration of Compliance will serve to confirm a number of important requirements that you must adhere too as it relates to your registration and employment with GP Wealth Management.

Here are several important items related to the annual declaration:

  • that you have received and read our policies and procedures
  • that you are abiding by all applicable rules and regulations
  • that you have declared all of your Outside Business Activities
  • that you have completed the AML training
  • that you have E&O insurance and;
  • that you have met any Continuing Education requirements

Click below to download a copy of the form:
2020 Financial Advisor Annual Declaration of Compliance

As always, if you have questions or comments, contact the Compliance Department by email at compliance@gpwealth.ca. Thank you in advance for your attention to this matter.