Compliance Memo

Compliance Memorandum 2014-01- Updated Portfolio and Suitability Guidelines

For more information, contact:

Compliance Team

Date Issued:

April 30, 2014

As part of a regular policy review, we have recently updated our Portfolio and Suitability Guidelines document. The updated document can be downloaded or reviewed on your secured personal website by going to the “Services Section”.

The document has been updated in the following sections:

Section 1.2.5 Investment Objectives;
Section 1.2.6 Risk Tolerance to Achieve the Investment Objectives;
Section 1.3.1 Fund or Security Risk;

More specifically the policy update focuses on expanding the definitions for the Investment Objective categories as well as the Risk Tolerance categories. The Client Information Document, New Account Application Form and Know Your Client Update Form will be updated to include the expanded definitions.

As always, if you have any questions or comments, contact the Compliance Department by email at