Information for Start-up Firms

Are you a start-up in the process of getting registered to be a Portfolio Manager?

We can help!

You can join if your firm is in the process of getting registered as portfolio manager with a provincial securities commission with fees at our current minimum.   Your firm won’t be listed as a member on our website until registration is confirmed, but in the meantime, you can gain access to the following:

  • Fidelity Bond & Professional Liability Insurance – To obtain a quote for the start-up insurance package,  contact:  Matthew Studley, HUB International, telephone 416- 597-7702 or Alex Brickman 416-597-5503.  PMAC Insurance Program Application and PMAC Insurance Program Coverage Enhancements.   Please advise Hub you are in the process of joining PMAC to obtain a discount of 10-15% off normal rates.  Also note in our aim to support ” advancing standards” in the industry, PMAC requires members to have professional liability insurance (E&O) within approximately one year of joining the association.
  • Sample Policies & Templates
    • Sample Investment Management Agreement & Investment Policy Statement
    • Guide to AML Compliance
    • Reference Guide for Policies and Procedures Manual
    • Conflicts of Interest – General Disclosure Template
    • Guide to ESG with CCGG
    • Guideline on Preparing an Annual CCO Report to the Board
    • Guideline on Preparing a Business Continuity Plan
    • Guide to Collecting and Maintaining KYC Information
  • Networking
    Peer-group meetings on operational, compliance and other policy issues
  • Surveys & Reports
    • PMAC Compliance Benchmarking Survey (complimentary copy for new members)
    • PMAC Supplier Inventory Survey

The attached guide outlines the registration requirements for individuals.

For information on applying for membership, please contact:

Nick Rhodenizer, Member Services & Development Analyst
phone: 416-504-1118 x 201