Industry Archives - 3i Financial

Associates and Industry Partners

3iwebdev — Tue, 06 Jul 2021 15:11:15 +0000

Associates and Industry Partners

At 3i Financial we work together with our many industry partners to help our clients to reach their financial goals and manage their risks. We believe that it is a tremendous advantage for us to be able to offer a complete range of financial products. It is also our job to objectively analyze our clients’ immediate and future needs, risk tolerance, and their financial goals.

Our Associates

Companies that work in partnership with us to provide financial solutions.

Industry Partners

Here some of our Participating Service Providers. You can use this section to visit the websites and learn more about the industry partners we work with to provide financial products.

All

Insurance

Mutual Funds

Disclaimers:

The services of providing life insurance and other non-investment plans are offered through 3i Financial Group Inc. The services of providing mutual funds, ETFs and Alternative Funds are offered through through 3i Financial Investment Services Inc. Both are separate legal entities. 3i Financial Investment Services Inc. is a member of the Canadian Investment Regulatory Organization (CIRO) and licensed to distribute mutual funds.
Dynamic Funds® is a registered trademark of its owner, used under license, and a division of 1832 Asset Management L.P.
Authorized Distributor for The Canada Life Assurance Company.

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CIRO & FRSA regulations

3iwebdev — Wed, 16 Jun 2021 16:50:46 +0000

CIRO | FSRA Regulations

3i Financial is governed by the rules and regulations as set forth by the Canadian Investment Regulatory Organization (CIRO) for investments products; and by the rules and regulations of the Financial Services Regulatory Authority of Ontario (FSRA) with respect to insurance products.

The key to long-term financial success is as a client, you have access to sound and objective financial advices. By asking the right questions, you will be able to determine if there are any conflicts of interest apparent in your relationship with your advisor, or with any of the products or services that are offered. For example:

Is a company only offering to broker certain products and not others because the payout on these products is higher as compared to other more suitable products?
Is a company only offering its own proprietary products although there may be other better performing products available in the marketplace?

When seeking guidance with respect to your finances, it is very important to find a company that is both competent and ethical. The next step would be to choose a financial advisor who displays the same characteristics. This decision should not be taken lightly as you will be providing them both with your personal information and should have confidence that this information will not be misappropriated. Financial Advisors are governed by the Know Your Client rule, this is important because for any advisor to provide effective service and prudent advice, they must have all the relevant client information at their disposal in order to make an assessment based on a needs analysis and finally to offer professional advice.

At 3i Financial, what matters to us is the performance of the products that we utilize to match our client’s needs. We expend significant effort to ensure that we only offer the best products and services to our clients from the strongest providers in the financial industry. We then monitor those products, and companies on an ongoing basis to be sure that they remain the best for you. Since we deal with a large number of mutual fund and insurance companies’ products, we are free to choose the ones that we believe will perform the best.

What to expect from your Financial Advisor

To deal with you fairly, honestly, and in good faith.
To gather all the pertinent information from you in order to better understand your financial needs and objectives.
To make recommendations consistent with your needs, objectives, and risk tolerance.
To fully disclose any risks associated with the recommendations they make.
To avoid any conflicts of interest and refrain from acting in any way that could potentially create a conflict of interest.

Lastly, to obtain your express authorization in advance of every transaction entered into while acting as an agent on your behalf.

Tags: FSRA, MFDA, Regulations

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Join as 3i Advisor

3iwebdev — Thu, 10 Jun 2021 15:09:55 +0000

Join as 3i Advisor

Make yourself a standout with 3i Financial

Here at 3i Financial our goal is to enhance our advisor’s competitive edge within the industry!

Why Join 3i?

We are committed to provide an environment that fosters trust, fairness, and equality. 3i works in partnership with our advisors through ongoing support and training to provide an enriching environment where they maximize their potential and give back to their clients and communities.

Member of CIRO

Ethical Conduct

Competitive Fees

Support

Your "own" client

Variety of Products

Unbiased and objective views on the manufacturers and products that you choose
Assortment of products to expand your market share
Cross sell products
Be indispensable to your clients!
Extensive range of products to support the needs of your clients for investments and insurance

Send in your resume to hr@3ifinancial.com and start doing more for yourself!

Tags: Join Us, MFDA

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Executive Team

3iwebdev — Wed, 09 Jun 2021 22:28:58 +0000

Executive Team

Louise Tam, President

President of 3i Financial Group Inc. since November 2004, Louise graduated from the University of Windsor with a Bachelor of Arts degree. She has completed various professional financial industry courses over her 30 years of financial services experience. From 1989 to 1999, she was an Account Manager at the Royal Bank of Canada. In 2000, Louise was appointed Vice President for a Financial Corporation. Throughout her career, she won numerous awards for her outstanding sales and service. In 2001, Louise received the chair of the Association of Chinese Canadian Entrepreneurs Certificate. Louise has experienced working with high net worth clients at Investment Planning Counsel as a Financial Planner. At 3i Financial Group Inc. Louise oversees many projects, assist with daily operations and business management. Louise spends her free time volunteering for many organizations and playing various sports, like golf and badminton.

Bob Lau, President of Investments

President of 3i Financial Investment Services Inc. since 2008, Bob oversees a team of Branch Managers and Financial Advisors. His duties include oversight of daily operations, supervision and business development. Bob has over 20 years of financial experience, he acquired his experience in working with corporations such as Royal Bank of Canada and Canada Life Assurance Company. In addition to the designations of Branch Manager and Certified Financial Planner®, Bob graduated from the University of Toronto with a Bachelor of Arts Degree and continuously attend courses and seminars to keep up to the industry trends. Besides his work life, Bob enjoys playing badminton and fishing.

Kelly Tsang, Vice-President

Since June 2005, Kelly has been the Vice President of Training and in charge of the Training and Development Department. Her role is vital in the setup of all corporate training initiatives. Kelly has managed several projects and remains committed to creating programs that meet the needs of others.Kelly graduated from the University of Western with a Bachelor of Arts degree and received her Master’s of Education from McGill University. Before entering the financial industry, she was involved in multiple programs to help high school students succeed academically as a Program Director. In her spare time, Kelly teaches ESL classes, tutors children and participates in multiple social and community projects.

Tags: Executive Team, Marketing, President, Vice President

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Resolving your complaints

3iwebdev — Wed, 09 Jun 2021 17:32:55 +0000

Resolving your Complaints

At 3i Financial, one of our organizational goals is service excellence. As a leading financial services broker, we take great pride in providing our clients with objective unbiased advice enabling them to achieve their financial goals. We value your business and we are dedicated to building long-term relationships with you.

We value your feedback because that is what helps us to better meet your needs. If you would like to provide us with a compliment, constructive feedback, or to lodge a complaint, we encourage you to follow the procedures listed below so that we can work to resolve your issue in a timely manner.

For full details on the complaint process, please download this PDF document.

Contact 3i Financial Investment Services Inc. Head Office

Member firms are responsible to you, the investor, for monitoring the actions of their representatives to ensure that they are in compliance with by-laws, rules and policies governing their activities. Please contact our Head Office by calling 905-597-5000 and ask to speak to the Customer Relations Manager. Alternatively, if you prefer, you can mail, fax, or email it to the attention of the Customer Relations Manager.

Mail in attention to Customer Relations Manager to 9040 Leslie Street, Suite 221, Richmond Hill, ON L4B 3M4
By Fax: (905) 597-8366
By e-mail: customerrelations@3ifinancial.com

Please include your full name, address, telephone number, the best time to reach you, and explain clearly all the details. The Customer Relations Manager will investigate the matter and will respond back to you in a timely manner.

Contact the Canadian Investment Regulatory Organization (CIRO)

CIRO is a self-regulatory organization in Canada to which your Mutual Fund Dealer is a member. CIRO investigates complaints about its regulated firms and their representatives, and takes enforcement action where appropriate. You may make a complaint to the CIRO at any time, whether or not you have complained to your Mutual Fund Dealer. CIRO can be contacted:

By completing the on-line complaint form
By telephone in Toronto at (416) 361-6332 or toll free at 1-888-466-6332
By e-mail at complaints@ciro.ca
In writing by mail to 121 King Street West, Suite 1000, Toronto, ON M5H 3T9
By Fax at (416) 361-9073

https://ciro.ca

Contact the Office of the Ombudsman for Banking Services and Investments (OBSI)

OBSI provides an independent and impartial process for the investigation and resolution of complaints about the provision of financial services to clients. OBSI can make a non-binding recommendation that your firm compensate you (up to $350,000) if it determines that you have been treated unfairly, taking into account the criteria of good financial services and business practice, relevant codes of practice or conduct, industry regulation and the law. The OBSI process is free of charge and is confidential. OBSI can be contacted:

By telephone in Toronto at (416) 287-2877, or toll free at 1-888-451-4519
By e-mail at ombudsman@obsi.ca

https://www.obsi.ca/

Additional Information:

3i Financial Group Inc. is regulated by the Financial Services Regulatory Authority of Ontario (FSRA) for insurance products. 3i Financial Investment Services Inc. is regulated by Canadian Investment Regulatory Organization (CIRO) for mutual fund products. 3i Financial is a participating firm with the Ombudsman for Banking Services and Investments (OBSI).

*Clients who choose to communicate by e-mail should be aware of possible confidentiality issues regarding internet communications.

Tags: Investment Services

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About

3iwebdev — Mon, 13 Apr 2020 11:18:52 +0000

Corporate Profile

Who we Are

Established in 2004, 3i Financial is a growing boutique firm located in Richmond Hill – Ontario that provides a variety of financial services to help individuals and businesses achieve their financial objectives. Our official name is International Investment and Insurance Advisors and Associates.

Inform. Invest. Insure is what we believe. We work with many industry partners to present our clients a competitive edge and the freedom to choose on a wide array of financial products and services.

Why us

We are a community-based organization providing a comprehensive financial service solution to help you reach your goals. Our leaders are visibly involved in their respective communities, participating and coaching, to enrich the lives of the people they meet. It is not only important to be good corporate citizens, it is equally important to be contributing citizens for the betterment of society at large.

Our strong relationships with various industry partners grant our clients the assurance that we provide independent, unbiased and informed financial advice. Our corporate policies follow the highest ethical and professional conduct, and prioritize our clients’ interests. We value long-term relationships with our clients, employees, business partners and the community we serve. Our highly experienced and professional advisors can help you choose from a range of investment and insurance products to enhance your financial well-being.

We aspire to be the leading provider of financial services to the people we serve, building long-term relationships and be present to explore the financial options at any stage of their lives.

Core Values

Ethical Conduct

The interests of our clients are, and always will be, our main concern and top priority.

Teamwork

We are stronger when we work together. With clients, employees, business partners and the communities we serve.

Diversity

Value uniqueness of people, culture, language and work.

responsibility

Ensuring that our clients clearly understand all of the choices available and the implications that follow each is one of our many responsibilities. We closely monitor and follow up with each client’s situation to protect and assure that their needs are being met.

Innovation

Each client is different, which means that we have to approach each situation and circumstance in a unique manner. In order to reach each goal, we have to be creative with our service delivery because we want to reflect their individuality in our actions.

Tags: Innovation, Performance, Responsibility, Teamwork

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