FAQs

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1. What are the advantages of investing with ROCKLINC?

• Access to customized investment portfolios
• All private client assets are held at National Bank Independent Network Inc. (NBIN), one of the highest rated custodians 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; we do not charge a minimum investment fee

2. What is the minimum account size?

The minimum account size is $250,000

3. Is ROCKLINC registered with the Ontario Securities Commission (OSC)?

ROCKLINC is primarily regulated by the Ontario Securities Commission in our capacity as a Portfolio Manager (PM), Investment Funds Manager (IFM) and Exempt Market Dealer (EMD) in the provinces and jurisdictions in which we maintain these registrations. The Portfolio Manager registration permits us to manage private client assets on a discretionary basis, subject to relevant securities regulations. This enables 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.

4. Are client assets held with a third-party custodian?

Yes, all private client assets are held at National Bank Independent Network Inc. (NBIN), one of the highest rated custodians in the world.

5. On what basis is the investment fee calculated? How frequently are the fees charged?

Our investment fee calculation is based on assets under management. The fee is calculated daily and charged quarterly.