Regulatory Structure

RockLinc is regulated by the Ontario Securities Commission as a portfolio management firm. The portfolio management firm registration permits us to manage client assets on a discretionary basis. This allows us to customize client portfolios to meet their investment goals and objectives. There are a number of other important reasons why our clients entrust us with their wealth.

• Minimum conflicts of interest – our independence means no pressure to sell in-house products
• All client assets are held at TD Waterhouse, a subsidiary of TD Bank Financial Group, one of the highest rated custodians and banks in the world.
• Fiduciary duty to act in the best interests of clients, based on the development of an Investment Policy Statement (IPS)
• Transparency of all holdings and transactions
• Access to investment accounts 24/7
• Access to detailed reporting system
• Investment fees are based on assets under management