As an investor, you are the key participant in a large and complex vocation which includes investors, regulators, Advisors and their firms. Each member has a role to play in achieving your financial goals.
Canada has one of the most highly regarded regulatory oversight frameworks in the world. Mandeville is supervised by the various provincial securities commissions, as well as the Investment Industry Regulatory Organization
of Canada (IIROC). Our regulators take steps to ensure the investment firms and individuals that are registered have the training, qualifications and experience to meet investors’ needs.
Our Advisors are able to offer a wide range of products and services, ranging from mutual funds, guaranteed investment certificates, stocks, bonds and options to more complex alternatives. Only those individuals
with the necessary training and education receive regulatory approval. These Advisors must also pass financial, professional and personal background checks before they can be registered to work at our firm.
This is one way that our regulation helps investors.
Mandeville itself is subject to direct scrutiny of our business practices and conduct, our capitalization as well as operations and infrastructure, and we go to great lengths to ensure your assets with us
are secure. Mandeville is a participant in the industry sponsored Canadian Investor Protection Fund (CIPF) investor protection plans. More information regarding coverage is available from links provided
to the left.
While Canada has one of the best regulatory regimes in the world, no regulatory framework or series of controls or procedures can totally prevent fraudsters and scam artists from potentially targeting
people with money. The best defense is for the investor to be educated and to take action at the first warning sign.
Some warning signs to be aware of before you invest. • The investment is purported to deliver outlandish claims or investment returns • You are asked not to disclose details about the investment, or that the investment is relying on insider information.
• You feel pressured to invest because this is a “limited time offer which is about to close” • Incentives or guarantees are being provided to entice you to invest • Personal Confidential Information
concerning other people or organizations allegedly investing alongside you is being disclosed.
If you are presented with any of these warning signs, call the Compliance Department at Mandeville at 1-888-990-9155.
Never make a cheque payable to an individual such as an Advisor, or a numbered company. Cheques should always be made payable to the firm you are dealing with or direct to an insurance company
or financial institution.
Never sign any blank forms. Pre-signing blank forms is like pre-signing a blank cheque. Your signature is your authorization.
Mandeville provides you with comprehensive reporting of your holdings and transactions and we ask that you carefully review these reports for any discrepancies or transactions that do not appear on them. If you discover suspicious or missing transactions
please call the Compliance Department at 1-888-990-9155.
We take great pride in being able to provide you with investment opportunities you cannot find elsewhere and being associated with the elite of Canada’s investing professionals.
Each participant in the investment industry has a role in ensuring your financial goals are attained, and a key element to that success is when the Investor is knowledgeable
and educated on what they are investing in and what to expect from the process.