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 National Bank Correspondent Network (NBCN), an indirect, wholly owned subsidiary of National Bank of Canada which is one of Canada’s oldest financial institutions.

 

  • 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

 

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