Regulatory Documents
BMO Nesbitt Burns and BMO Financial Group are committed to safeguarding your assets and personal information. BMO Nesbitt Burns operates in strict adherence to the regulations, policies and bylaws dictated by the governing bodies of the investment industry.
Understanding our guidelines and regulations
BMO Nesbitt Burns Inc. complies with the high regulatory and investment industry standards of the Investment Industry Regulatory Organization of Canada (IIROC), which is committed to protecting investors and strengthening financial market integrity. BMO Nesbitt Burns Inc. is also a member of the Canadian Investor Protection Fund (CIPF), created by the investment industry to ensure that client assets are protected up to certain limits, in the event that an investment dealer who is a CIPF member becomes insolvent. Strict guidelines are followed to ensure all trading activities are handled in the most efficient manner.
Find out more about:
The Security of Your Assets (82.6 KB, PDF)Equity Trade Execution (228 KB, PDF)How IIROC protects investors (1.46 MB, PDF)Trade Matching Statement (114 KB, PDF)The Canadian Investor Protection Fund (617 KB, PDF)Conflicts of Interest Statement (200 KB, PDF)Unclaimed Property Notice (129 KB, PDF)Relationship Disclosure (562 KB, PDF)
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