Compliance

Quadrus has a well-established compliance team that works with you, not against you. It respects your independence and unique business structure.

Compliance demonstrates professionalism. It is in everyone’s best interests – protection for clients, investment representatives, the dealership and our affiliates.

Strong, experienced team

Our structure is strong, and includes:

Chief compliance officer
National compliance officer
Head office compliance team of specialists
Network of provincial compliance officers
Branch managers
Branch compliance analysts
Internal audit team

Our regulator

Quadrus is a member of the Mutual Fund Dealers Association, a national regulator for the mutual fund industry (except in Quebec). The dealership is also responsible to each provincial securities commission.