Compliance &
Regulation
Committed to the highest standards of regulatory compliance and client protection
Regulatory
Framework
Maryana Capital Inc. operates under the oversight of the Financial Services Regulatory Authority of Ontario (FSRAO). Our corporation is registered with Corp. No. 9944567 and Business Number 747551893RC0001.
Our commitment to compliance ensures that we meet all regulatory requirements while providing exceptional investment management services to our clients. We maintain the highest standards of professional conduct and fiduciary responsibility.
Key Compliance
Areas
Our comprehensive compliance framework covers all aspects of financial service delivery
Full compliance with all Financial Services Regulatory Authority of Ontario obligations including adequate arrangements, competency requirements, and ongoing monitoring.
- Adequate arrangements for financial services
- Competency and training requirements
- Risk management systems
- Dispute resolution procedures
Comprehensive client protection measures including segregated client accounts, professional indemnity insurance, and strict confidentiality protocols.
- Segregated client money accounts
- Professional liability insurance
- Privacy and confidentiality protection
- Client complaint procedures
Robust risk management framework covering operational, financial, and compliance risks with regular monitoring and reporting procedures.
- Operational risk controls
- Financial risk monitoring
- Compliance risk assessment
- Regular risk reporting
Comprehensive AML/ATF program including customer identification, ongoing monitoring, and suspicious transaction reporting in accordance with FINTRAC requirements.
- Customer identification procedures
- Ongoing customer due diligence
- Suspicious transaction reporting
- Record keeping requirements
Strict adherence to best interest duty requirements ensuring all advice and recommendations are in the client's best interests and appropriate to their circumstances.
- Client needs assessment
- Appropriate advice standards
- Conflict of interest management
- Ongoing suitability reviews
Comprehensive disclosure and reporting framework ensuring transparency and accountability in all client interactions and regulatory communications.
- Financial Services Guide
- Statement of Advice
- Product Disclosure Statements
- Regular client reporting
Regulatory
Information
Important regulatory details and contact information
License Details
Authorized Services
- Investment Management Services
- Portfolio Management
- Financial Planning Services
- Securities Trading
Client Protection
Canadian Investor Protection Fund (CIPF)
All eligible client accounts are protected by CIPF coverage up to $1 million per client for general accounts.
Professional Indemnity Insurance
Comprehensive professional indemnity insurance coverage for all authorized financial services.
Segregated Client Accounts
Client funds are held in segregated trust accounts separate from company assets.
Complaint Resolution
Formal complaint resolution procedures with external dispute resolution options.
Client Asset Protection
Regulatory Oversight
Emergency Contact Information
Questions About
Compliance?
Contact our compliance team for any questions about our regulatory framework and client protection measures