ExceptionalClient Service Best Practices: In the best interest of our clients

Front Office

Our front office has four main areas of responsibility.

Portfolio management, trade execution, sales and marketing as well as client servicing represent these four pillars. QVO VADIS Investment Management has put in place employee policies to ensure or address the following:

  • Trade Entry
  • Performance Measurement
  • Dual Signatures
  • Employee Personal Trading
  • Management Agreements

Middle & Back Office

  • QVO VADIS (pronounced QUO): discretionary investment and portfolio management in Canada - stocks, bonds, options, Exchange Traded Funds (ETFs), FX Middle Office Compliance, legal, auditing and accounting make up our middle office. Each of these functions has its own set of best practices. Whenever an independent third party is hired, as in the case of auditors, QVO VADIS Investment Management requires that they read, acknowledge and abide to our best practice policies and procedures.
  • QVO VADIS (pronounced QUO): discretionary investment and portfolio management in Canada - stocks, bonds, options, Exchange Traded Funds (ETFs), FX Back Office This is where trades are settled. This function, along with account, custodial and safekeeping services is handled by NBIN Inc. (National Bank Independent Network). They provide the essential administrative services required for the management of our client accounts.
For our investment management business, best practices translate into what is in the best interest of our firm's clients

These standards of practice help us in meeting your investment objectives, as well as sustain the investment manager-client relationship of trust. We believe that compliance and adherence to our code of ethics begin on day one of the job. QVO VADIS Investment Management redistributes the firm's code and list of best practices annually to all employees. All recipients are asked to reaffirm, in writing, their commitment to following these codes and practices.