REGISTRATION, CUSTODIAN & AUDITORS
Our Firm’s Registration:
Alberta Securities Commission
RT Mosaic Wealth Management Ltd. is a registered Portfolio Manager. Portfolio Managers meet the high standards of registration with the securities commissions in Canada, requiring specific education and experience. Our primary regulator is the Alberta Securities Commission. We are also currently registered in the category of Portfolio Manager through the regulatory passport system in each of the following provinces: British Columbia and Ontario.
Numeris LLP Chartered Accountants
Numeris specializes in providing full service accounting needs to entrepreneurs and privately owned businesses and not-for-profit organizations. Numeris LLP Chartered Accountants have been our external auditors since 2014.
Fidelity Clearing Canada
Clients’ accounts are required to be held by an independent third-party custodian. After a vigorous process, we chose Fidelity Clearing Canada because of their ability to service our clients’ needs, their attention to service, their technology platform and their independent nature. All accounts at Fidelity Clearing Canada are protected by the Canadian Investor Protection Fund (CIPF).
DLA Piper is a global law firm operating through various separate and distinct legal entities. DLA Piper has provided us legal advice since 2014.
We are a proud member in good standing, since joining in 2015. Established in 1952, PMAC currently represents over 275 portfolio management firms who collectively manage more than $2.75 trillion of assets on behalf of small and large wealth management firms dealing with pension plans, foundations, non-profit organizations, institutions and high net worth investors.