Dundee Securities Ltd. (“Dundee”) is a full service investment dealer. Dundee operates its retail advisory division under the name “Dundee Goodman Private Wealth” and its institutional division under the name “Dundee Capital Markets”.
As an investment dealer in each of the jurisdictions of Canada and as a Derivatives Dealer in Quebec, Dundee is subject to the oversight of the provincial securities commissions and is required to adhere to regulations governing investor protection, fiduciary responsibilities and record-keeping. These requirements are monitored by Investment Industry Regulatory Organization of Canada (IIROC) through independent audits conducted regularly by external auditors and by examiners or the regulators. Dundee Securities Ltd. is also a member of the Canadian Investor Protection Fund (CIPF) and the Bourse de Montreal Inc.