Compliance

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Navroc Investment Management Inc. is an OSC licensed Portfolio Manager. We take being compliant with the rules and regulations that govern us very seriously.

Policies & Procedures

In order to promote transparency and trust in our brand, we are adamant about implementing, enforcing and updating our policy and procedures as dictated by the Ontario Securities Commission (OSC), the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and our in-house compliance officer.

We are regulated by the OSC and must comply with CRM2 reporting requirements. We provide clients with monthly statements as well as quarterly and annual reports on their portfolio’s holdings and performance.

We ensure we have a set of policies and procedures in place for all areas of our business; including; a business continuity plan, the responsible use of social media, honest content marketing, client privacy policy, conflict of interest disclosure, client statement presentation and performance calculation/presentation policy.

We are also a member of the Ombudsman for Banking Services and Investments (OBSI).

Custodian

Client funds are held with our primary custodian, Laurentian Bank Institutional Services (LBIS) located in Montreal, Quebec. LBIS is a wholly owned division of Laurentian Bank of Canada (LBC). Laurentian Bank is a federally regulated schedule 1 bank and is a publicly traded company listed on the TSX. Laurentian can accommodate all types of corporate and individual accounts. Individual accounts can be non-registered or registered accounts such as: RRSPs, RRIFs, TSFAs, RESPs and LIRAs etc. For sizable accounts, we will try to accommodate a client’s requests to have their funds held at a Canadian custodian of their choice.