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Our Conflicts of Interest Policy

Actual, potential and perceived conflicts of interest exist in almost all human interactions. Our relationship with you is no different. Professionals’ Financial considers all questions concerning potential conflicts of interest as serious and, as such, deals with them quickly to avoid their occurrence, to the extent that it is possible. If a conflict of interest cannot be avoided, the Financial’s policy is to disclose the situation to all persons concerned and to oversee the risks involved, if required.

We believe the best way to achieve our goal is to provide you with trusted advice and personalized financial solutions that help you achieve your financial goals in order to retain your continued patronage and encourage you to recommend our services and products to others.

Description of the Professionals' Financial

Professionals’ Financial – Mutual Funds Inc. and Professionals’ Financial – Private Management Inc. are wholly owned by Professionals’ Financial Inc.  Professionals’ Financial – Mutual Funds Inc. is a portfolio manager and a mutual fund dealer which manages the funds of its family of funds and which offers financial planning advisory services. Professionals’ Financial – Private Management Inc. is an investment dealer member of the Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Investor Protection Fund (CIPF) which offers portfolio management services.

Management of conflicts of interest

Although the Financial’s corporate structure and business activities do not favor the existence of conflicts of interest, real or apparent conflicts of interest may occur under certain circumstances. The general types of conflicts of interest which can arise are:

  • Conflicts of interest between you and the Financial,
  • Conflicts of interest between you and our other clients of the Financial, and
  • Conflicts of interest between us and our associated companies.
Our Approach

In general, we deal with and manage relevant conflicts as follows:

  • Avoidance: This includes avoiding conflicts that are prohibited by law as well as conflicts that cannot effectively be addressed such as those listed in the following pages.
  • Control : In some cases, we can manage acceptable conflicts through means such as physically separating different business functions and restricting the internal exchange of information.
  • Disclosure : By providing you with information about conflicts, you are able to assess independently their significance when evaluating our recommendations and any actions we take.

The information in the following boxes is intended to assist you in understanding and assessing material potential and actual conflicts of interest, including how we address them. This is an overview of a complex subject.

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