Compliance

We have included several investor brochures created by the Mutual Fund Dealers Association of Canada ("MFDA") for your review. Each brochure contains valuable information to all potential and existing clients regarding working with a licensed Financial Advisor and any investment recommendations that are provided to you. We encourage investors to review each of the brochures and if you have any questions please do not hesitate to contact our compliance officer. 

De Thomas Wealth Management does not manufacture or distribute “in-house” products and therefore avoids any potential conflicts of interest.

We use the highest level of external and internal controls to monitor all client accounts and business activities. Under the supervision of the Chief Compliance Officer, Jason De Thomasis, the compliance staff at De Thomas Wealth is responsible for reviewing each client account to ensure all investment recommendations are suitable as per the clients signed Know-Your-Client (KYC) form. Moreover, De Thomas Wealths compliance staff verifies each trade completed for every client account in accordance with regulatory requirements.