One of the first questions you should be asking in your initial meetings is what professional license or oversight body a firm belongs to, if this has not already been disclosed or isn’t clear. There are, in fact, several regulatory bodies that exist. Make sure that you know which one the firm in question falls under and what that means. Generally, a firm under regulation should have that disclosed on their website as well as their marketing information.
Capstone Asset Management Inc. (Capstone) is registered with the appropriate provincial securities regulator as well as by the Portfolio Managers Association of Canada (PMAC) which provides the highest regulatory oversight for investment firms within Canada. We must meet strict financial reporting, capital and insurance requirements to protect our clients’ investments.
As a member of PMAC, our investment professionals have the highest education and experience requirements. This is why pension plans, foundations, non-profit organizations and high net worth individuals and families choose to engage with a portfolio management firm. We have five registered Portfolio Managers on the team who have a fiduciary duty to act with care, honesty and good faith, always in the best interest of our clients. Our investment decisions must be independent, meaning free of bias and our services performed reasonably prudently.
Additionally, some of our team hold current professional designations including the Chartered Financial Analyst (CFA), Certified Financial Planner (CFP) and Chartered Investment Manager (CIM), which are each registered through their own professional bodies. These professional bodies include the Chartered Financial Analyst (CFA) Institute, Financial Planning Standards Council (FPSC) and the Canadian Securities Institute (CSI), respectively.
We are registered as Portfolio Managers with provincial securities commissions both at the firm and individual level. Capstone is a Portfolio Manager, Investment Fund Manager and Exempt Market Dealer serving clients in British Columbia, Alberta, Manitoba, Ontario, and Quebec.
Janet Kim Sing, Portfolio Manager
Capstone Private Wealth