Governance & Oversight

We Set the Bar High

As fiduciaries to our clients, Raymond James Investment Counsel is committed to the highest standards of governance and oversight determined by regulatory bodies as well as through adherence to robust internal policies and controls. Our unwavering commitment to high standards has earned us the trust of managing the wealth of multiple generations of clients.

Regulatory Bodies

As a wholly-owned subsidiary of Raymond James Ltd., Raymond James Investment Counsel is primarily regulated and governed by the British Columbia Securities Commission. Raymond James Investment Counsel is also registered with and subject to oversight by the securities commissions of the provinces of New Brunswick, Nova Scotia, Ontario, Manitoba, Alberta, Saskatchewan, and British Columbia. Raymond James (USA) Ltd.  is also registered with and subject to oversight by the Securities and Exchange Commission (SEC) of the United States.

Certified Financial Analysts (CFA) Advisor Code of Ethics

The Firm and our Portfolio Managers adhere to the Code of Ethics and Standards of Professional Conduct and the Advisor Code of Ethics as established by the Chartered Financial Analyst Institute which holds all employees to a high standard of competency, reporting, professionalism, judgment, record keeping, and ethical behaviour.

Robust Internal Policies and Controls

Raymond James Investment Counsel and its Portfolio Managers are also subject to a robust charter of internal policies and controls. These are regularly reviewed and updated to ensure the highest level of compliance.

Regular Independent Audits

An experienced team performs regular independent audits reviewing both financial functions and risk management.

Account Segregation

Clients have the freedom to custody their assets with our parent company Raymond James Ltd. or designate a custodian of their choice. If the assets are in the custody of Raymond James, clients will enjoy the added benefit of detailed reporting offered through our Online Account Access application.