THE 360 NEWSLETTER
We would like to inform you that a new Sales Practices Guide has been made available for your convenience.
This new guide contains important concepts, complementary to the Investia Compliance Policies and Procedures Manual, to guide you in meeting your regulatory obligations and adopting best business practices relating to sales communications and marketing initiatives.
Advisors should refer to this resource prior to requesting approval to the Sales Communications team. In addition to highlighting compliance requirements and processes, the guide will provide you with an overview of the available support resources, along with useful tips for developing compliant client and public communications.
Click on the link below to read this new guide, which can also be found on the Investia Advisor Centre under the Guides & Training / Compliance section:
Investia Sales Practices Guide
Should you have any questions or require additional information, please do not hesitate to contact the Sales Communications team, by email at sales_communications@investia.ca.
Also in this issue
- Availability of September 30, 2023 Statements
- iA Private Wealth Approved for Dual Registration
- Reminder – RRSP to RRIF Transfers
- 2023 National Business Conference – TEKsystems
- Solulan – Cybersecurity Self-Assessment
- The Chronicles of our Cyber-Experts
- Cash Isn’t King – iA Clarington Webinar on November 7
- Transferring the Family Business – The Landscape Is Changing (PPI)
- Monthly Market Snapshot – October 2023