ASSANTE CAPITAL MANAGEMENT

Assante is required by regulators to maintain adequate capital to cover our business risks, keep comprehensive and accurate records and employ appropriate securities handling procedures. Most securities owned by our clients are held through central industry-wide electronic or book-based systems. In this approach, investments are tracked using independent service providers, including FundSERV in the case of mutual funds, and the Canadian Depository for Securities for most equity securities. In situations where fully paid up securities are physically held by us, they are kept separate from any securities related to our corporate investing activities and are subject to regulatory audit on an annual basis. This safeguard helps to ensure that clients' investments are not subject to any risks related to their dealer's business activities and are adequately segregated for the benefit of clients. Custodial services for all securities, other than mutual funds, held in client nominee accounts..

Also known as: Assante, Assante Capital Management Ltd, Assante Financial Management Ltd, Assante Wealth Management

Primary location: Point Edward Canada