Registration, Custody of Assets & Compliance

Our Firm’s Registration

Tulett, Matthews & Assoc. Inc. is registered in the Province of Quebec in the category of Portfolio Manager. Our principal regulator is Quebec’s Autorité des marché financiers (AMF). We are also registered in the category of Portfolio Manager through the regulatory passport system in each of the following provinces: Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Ontario, Saskatchewan & PEI. Portfolio managers meet the highest conditions of registration with the securities commissions.

Custody of our clients’ assets

All client accounts are held in their name only at a financial institution that is completely independent from Tulett, Matthews & Associates. Such institution acts as custodian and is responsible for the account administration and safeguard of clients’ assets. Clients may choose between these two organizations for the custody of their assets:

National Bank Independent Network
National Bank Independent Network is a division of National Bank Financial Inc., an indirect wholly owned subsidiary of National Bank of Canada.

Aviso Correspondent Partners
Aviso Correspondent Partners is a division of Aviso Financial Inc., a dual-registered dealer with the Canadian Investment Regulatory Organization and a member of the Canadian Investor Protection Fund (CIPF).

Both custodians are members of the Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Investor Protection Fund (CIPF), which are the regulatory organizations overseeing and protecting the interests of Canadian investors.

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Our Auditor

BDO is one of the leading accounting and advisory firms in Canada and the fifth largest in the world with over 1,591 offices in more than 162 countries. BDO has been our external auditors since 1995.

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