Advisor information for clients
concerning
Kenneth G. Beattie
I am licensed for life and health insurance in Ontario. I am also registered to sell mutual funds in Ontario.
I have access to the following companies’ products:
· AIG Life
· Assumption Life
· Canada Life
· Desjardins Life
· Great-West Life
· Manulife
· RBC Life
· Transamerica Life
· Unity Life
This list is subject to change. Also, companies may merge or be acquired by other companies, and their identities may change as permitted by law.
I offer mutual fund investment products through FundEX Investments Inc.
Nature of
relationship with company(ies)
No insurer holds an ownership interest in my business, nor do I hold a
significant interest in any insurance company.
I will be paid by the company that offers the product you choose. I am compensated by a sales commission for most products at the time of sale, and may receive a renewal (or service) commission. For certain products, I may receive a referral fee. For mutual fund business, commissions are paid by the fund company to the dealer as disclosed by prospectus.
In respect of certain products, the commission may be different than the standard commission scale provided by the company providing the product.
I may also be eligible for additional compensation such as bonuses, and non-monetary benefits such as travel incentives. This compensation depends on various factors such as the volume or retention of business I place with a particular company during a given time period.
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I take the potential of a conflict of
interest seriously. I will notify you
if there is a conflict of interest of which I become aware in regards to my
services. My services will take into
consideration your financial needs.
___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
This statement has been prepared by Kenneth G. Beattie
I, <client’s name>________________________, have been informed of, and understand the implications of, this disclosure including any conflict of interest or potential conflict of interest associated with Kenneth G. Beattie in relation to any recommendations made.
I agree to continue discussions with you and understand that I may ask for further information regarding this disclosure.
Client Signature ___________________________________ date__________