FundEX Investments Inc.

FundEX Investments Inc. was established in 1995 as a privately owned, national mutual fund dealer partnering with industry leading financial planning professionals across Canada. The head office is based in Markham, Ontario and Industrial Alliance is now a majority shareholder.

The main business premise of FundEX Investments Inc. is to provide the independent FundEX Associate with an automated and compliant platform as they guide their clients in the formation, maintenance, preservation and distribution of wealth.

FundEX Investments Inc. is a member of the trade association, The Investment Funds Institute of Canada ("IFIC") and a member in good standing of the Mutual Fund Dealers Association of Canada ("MFDA"). The MFDA is the recognized self-regulatory organization ("SRO") for mutual fund dealers in Canada. The MFDA enhances investor protection and strengthens public confidence by mandating, monitoring compliance with, and enforcing rules and practices to ensure high standards of conduct by its Members.

Compliance

FundEX has implemented various compliance policies and procedures to ensure that all their associates conduct their business within current regulatory requirements. All branches are audited annually by a qualified compliance professional who is an employee of FundEX Investments Inc.

To learn more about FundEX Investments Inc please visit their web site or contact us.