As an investor, you are the key participant in a large and complex vocation
which includes investors, regulators, Advisors and their firms. Each member has
a role to play in achieving your financial goals.
Canada has one of the most highly regarded regulatory oversight frameworks in
the world. Mandeville is supervised by the various provincial securities
commissions, as well as the Investment Industry Regulatory Organization
of Canada (IIROC). Our regulators take steps to ensure the investment firms
and individuals that are registered have the training, qualifications and
experience to meet investors’ needs.
Our Advisors are able to offer a wide range of products and services,
ranging from mutual funds, guaranteed investment certificates, stocks,
bonds and options to more complex alternatives. Only those individuals
with the necessary training and education receive regulatory approval.
These Advisors must also pass financial, professional and personal
background checks before they can be registered to work at our firm.
This is one way that our regulation helps investors.
Mandeville itself is subject to direct scrutiny of our business
practices and conduct, our capitalization as well as operations and
infrastructure, and we go to great lengths to ensure your assets
are secure. Mandeville is a participant in the industry sponsored
Canadian Investor Protection Fund (CIPF) investor protection plans.
More information regarding coverage is available from links provided
to the left.
While Canada has one of the best regulatory regimes in the world,
no regulatory framework or series of controls or procedures can
totally prevent fraudsters and scam artists from potentially
people with money. The best defense is for the investor to be
educated and to take action at the first warning sign.
Some warning signs to be aware of before you invest. • The
investment is purported to deliver outlandish claims or
investment returns • You are asked not to disclose details
about the investment, or that the investment is relying on
• You feel pressured to invest because this is a "limited
time offer which is about to close" • Incentives or
guarantees are being provided to entice you to invest •
Personal Confidential Information
concerning other people or organizations allegedly investing
alongside you is being disclosed.
If you are presented with any of these warning signs,
call the Compliance Department at Mandeville at
Never make a cheque payable to an individual such as
an Advisor, or a numbered company. Cheques should
always be made payable to the firm you are dealing
with or direct to an insurance company
or financial institution.
Never sign any blank forms. Pre-signing blank
forms is like pre-signing a blank cheque. Your
signature is your authorization.
Mandeville provides you with comprehensive
reporting of your holdings and transactions
and we ask that you carefully review these
reports for any discrepancies or
transactions that do not appear on them. If
you discover suspicious or missing
please call the Compliance Department at
We take great pride in being able to
provide you with investment
opportunities you cannot find elsewhere
and being associated with the elite of
Canada’s investing professionals.
Each participant in the investment
industry has a role in ensuring your
financial goals are attained, and a key
element to that success is when the
Investor is knowledgeable
and educated on what they are investing
in and what to expect from the process.