We have included several investor brochures created by the Mutual Fund Dealers Association of Canada ("MFDA") for your review. Each brochure contains valuable information to all potential and existing clients regarding working with a licensed Financial Advisor and any investment recommendations that are provided to you. We encourage investors to review each of the brochures and if you have any questions please do not hesitate to contact our compliance officer.
De Thomas Wealth Management does not manufacture or distribute "in-house" products and therefore avoids any potential conflicts of interest.
We use the highest level of external and internal controls to monitor all client accounts and business activities. Under the supervision of the Chief Compliance Officer, Jason De Thomasis, the compliance staff at De Thomas Wealth is responsible for reviewing each client account to ensure all investment recommendations are suitable as per the clients signed Know-Your-Client (KYC) form. Moreover, De Thomas Wealths compliance staff verifies each trade completed for every client account in accordance with regulatory requirements.
Chief Compliance Officer:
Jason De Thomasis BMOS, CFP
9033 Leslie Street Unit 1
Richmond Hill, Ontario, L4B 4K3
E-mail: jason@dethomaswealth.com
Tel: 905-731-9800
Fax: 905-731-9759
Toll Free: 1-833-731-9800
Vered Kamer, Compliance Manager
Vered comes to us with a strong background in compliance, experience as an assistant, and was previously a compliance examiner. She has a great understanding of the industry and holds a deep appreciation for Advisors.
Phoirs Sam, Compliance Manager
Phoirs comes with a wealth of knowledge as she started her career as an Advisor. She has a great overall understanding of compliance from an Advisor perspective and is happy to help you excel in making your practice deficient free.
Lulu Mao, Compliance Manager
Lulu came to De Thomas with many years of working experiences as compliance officer and operation specialist at different dealerships, she had a strong background working with advisors from different perspectives of different departments and she believes a positive relationship with advisors is the key to success for any dealerships.
On a personal level, she's a mom of 2 young kids, and has a great sense of humour.
Anna Kalinovskaia, , Compliance Manager
Anna has strong background in compliance and working together with advisors acting as a resource for creating & maintaining a compliant business practice. She comes to us with experience working for a regulator and she is excited to share her knowledge and tips to stay off regulator radar.
On the personal level, Anna is an animal advocate and loves her rescue dog Rocco and really anything related with dogs.
Barb Macdougall, Compliance Auditor
MacDougall, as our part-time compliance examiner (auditor). Barb comes to us with many years experience as an auditor and as a manager for a busy audit team of 13 staff. She is well versed on industry expectations and is busy learning the DeThomas way. We are working together on a schedule for 2024 to get caught up on our compliance review program. When you hear from Barb, please make sure you make her requests a priority, as she is getting us caught up on our regulatory requirements.
De Thomas Wealth Management is a member of
The MFDA Investor Protection Fund
The Mutual Fund Dealers Association (MFDA)
The Better Business Bureau (BBB)
The Registered Deposit Brokers Association (RDBA)
Canadian Investor Protection Fund