Transparency, rigour and integrity are the cornerstones of our governance. To implement these values, strict policies have been put in place in all sectors of the firm and at all operational levels.
· Two codes of ethics and professional conduct—one for the directors and another for the employees—have been adopted.
· Our Compliance Department ensures compliance with the laws and regulations governing the securities industry, as well as adherence to our policy on the protection of personal information, in order to safeguard the interests of our clients.
· The Financial's annual financial statements are audited by an external firm.
Our Board of Directors
The Financial's Board of Directors, composed of 12 directors representing, among others, our professional association shareholders, establishes the firm's governance structure and general orientation, while maintaining general oversight of its operations. Each director has a duty of accountability and must promote the organization's culture of compliance.
Various committees monitor the Financial's activities, including an Audit Committee and a Risk Management Committee. The Independent Review Committee (IRC) was established to protect the interests of all clients. Composed of three impartial members with expertise in a variety of fields, it examines certain conflict of interest issues related to our mutual fund activities and makes recommendations as to how the Financial can resolve such conflicts. The IRC produces an annual report on its activities.
Publications to consult
Livre de gouvernance, an official document setting forth the rules of governance and the charter of the Board of Directors and its committees. Available in French only.