Operations Memo

OM_2020-05; Financial Advisor Assistant Agreement

For more information, contact:

Advisor Services Team
advisorservices@gpwealth.ca

Date Issued:

April 16, 2020

As part of our recent MFDA sales compliance audit, the MFDA noted that an agreement must be completed between GP Wealth Management and a Financial Advisor Assistant.

To address this deficiency, we have prepared a Financial Advisor Assistant Agreement that covers several key items that include:

  • Outlining the relationship between GP Wealth Management and the Financial Advisor Assistant
  • Confidentiality regarding access to GPWM systems and confidential client information
  • Adhering to Policies and Procedures of GP Wealth Management and the MFDA

Please click on the link below to the sample agreement for your reference.

Financial Advisor Assistant Agreement

In addition, we will be sending an email via DocuSign to each financial advisor assistant with a personalized copy of the Financial Advisor Assistant Agreement that will require their signature.

As always, if you have questions or comments, contact the Advisor Services Department by email at advisorservices@gpwealth.ca.