|Legal name:||Richard Carl Peter Vetter|
|Province of Residence:||BC|
|Firm Name:||Aligned Capital Partners Inc.|
|Status with Firm:||Active|
|Registered Business Location:||9351 Glenacres Drive, Richmond, BC, V7A 1Y6|
IIROC Approval Categories
IIROC approves individuals to work at IIROC-regulated firms for specific categories of employment (e.g. Registered Representative, Investment Representative) This section identifies the category or categories in which an advisor is currently approved by IIROC to do business with his/her clients. The approval categories are important because they tell investors about the type(s) of products(s) that an advisor is allowed to trade in, whether they can advise clients, and whether they are an executive of the firm. Where an individual is approved in a number of IIROC approval categories, it is possible for an individual to be suspended in one of those categories. This may occur, for example, where an individual has failed to complete a required course within the mandatory time frame. Individuals registered to deal in mutual funds only at a dual registered firm will not have IIROC approval categories. The section below identifies the provinces and territories of registration for such individuals.
For an explanation of each approval category, please visit:
Registered Provinces and Territories
This person is registered to trade and is registered as a dealing representative or salesperson (if registered under commodity futures legislation in Ontario or Manitoba) in the following province(s)/territories:
- British Columbia
- Nova Scotia
In addition to IIROC’s approval requirements, the Canadian Securities Administrators (CSA) has its own set of conditions for registering individuals to work in Canada’s provinces and territories.
Terms and Conditions
If an advisor has a condition(s) placed on their approval with IIROC or their registration, it will be identified here.
The following terms and conditions have been placed on this advisor:None
Advisors may have terms and conditions attached to their approval/registration for various reasons. Whether the condition is to, for instance, take a course, be supervised or avoid soliciting clients in certain circumstances you should ask the advisor about it. You will then have to decide the extent to which the term or condition affects their ability to provide you with the investment advice and services you need.
Previous sponsoring IIROC Member firms
This advisor was previously registered with:
- BERKSHIRE SECURITIES INC.
- MANULIFE SECURITIES INCORPORATED/PLACEMENTS MANUVIE INCORPORÉE
The National Registration Database (NRD) - which is used to track the approval of advisors - was founded in March 2003. Employment information prior to this date was maintained by IIROC. As a result, if you are interested in obtaining employment information prior to March 2003, please contact us directly at 1.877.442.4322.
This person has completed or been exempted from the following industry course(s) and exam(s):
|Apr 06, 2020||Exempt||Investment Management Techniques|
|Apr 06, 2020||Exempt||Portfolio Management Techniques|
|Jun 12, 2015||Completed||Chartered Investment Manager (CIM)|
|Mar 27, 2015||Completed||Portfolio Management Techniques|
|Oct 20, 2005||Completed||Effective Management Seminar|
|Apr 01, 2005||Completed||Investment Management Techniques|
|Dec 02, 2003||Completed||(Discontinued) Branch Manager's Examination Course|
|May 21, 2002||Completed||Conduct and Practices Handbook Course|
|Jul 06, 2000||Completed||Canadian Securities Course|
|Apr 01, 2000||Completed||(Discontinued) Certified Financial Planner Program|
|Jan 01, 1997||Completed||Chartered Life Underwriting (C.L.U).|
This section identifies all industry courses (e.g. general product/industry, and/or provincial securities exams) that advisors have passed in order to maintain their approval status (existing or past) with an IIROC-regulated firm. It may also include additional courses that are not required by IIROC. This section may not include, however, a complete listing of all additional non-required professional or industry courses that an advisor has taken in support of other licenses held, to expand knowledge or to stay current, so you should speak to your advisor if you have questions about an advisor’s educational background or courses completed.
Please note: IIROC generally verifies the completion of those courses which are required for regulatory purposes. IIROC does not confirm the completion of any additional courses, diplomas or degrees disclosed through NRD by the advisor.
IIROC may offer exemptions in certain circumstances.
This section of the report includes information about different kinds of proceedings by securities regulatory authorities, self-regulatory organizations and/or non-securities regulators. Individuals seeking approval with an IIROC-regulated firm are required to provide this information by responding to a series of questions. On September 28, 2009, regulatory reforms resulted in changes to these questions. Because individuals may have responded to different questions, depending on when they filed information for approval, this report will include any responses filed prior to as well as after, September 28, 2009.
The report also provides the questions which approved persons would have answered.
Questions prior to September 28, 2009
Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been subject to a cease trade order, a cease distribution order, a suspension or termination order, any disciplinary proceedings or any order resulting from disciplinary proceedings pursuant to securities legislation or legislation governing exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country?
Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been subject to a suspension, expulsion or termination order, or been subject to any disciplinary proceedings or any order resulting from disciplinary proceedings conducted by any stock exchange or other self-regulatory organization in any province, territory, state or country?
Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been subject to a suspension or termination order, or disciplinary proceedings or any order resulting from disciplinary proceedings conducted under any legislation which requires registration or licensing to deal with the public in any capacity other than to trade in or advise on securities or exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country?
Questions asked after September 28, 2009
1. Securities and derivatives regulation
d) Are you now, or have you ever been, subject to any disciplinary proceedings or any order resulting from disciplinary proceedings under any securities legislation or derivatives legislation or both?
2. SRO regulation
c) Are you now, or have you ever been, subject to any disciplinary proceedings conducted by any SRO or similar organization?
3. Non-securities regulation
c) Are you now, or have you ever been, a subject of any disciplinary actions conducted under any legislation relating to your activities unrelated to securities?
Please note: A positive answer to these questions does not automatically indicate wrongdoing on the part of an advisor, nor does it mean that a disciplinary proceeding has necessarily concluded with a finding of fault or guilt; it is possible that the proceeding itself has not been completed or that the proceeding has been completed and there was no finding of fault or guilt.
Please contact the advisor or the advisor’s firm directly to obtain more information or call IIROC at 1-877-442-4322 for assistance in locating any public disclosure
IIROC investigates IIROC-regulated firms and their approved employees or agents who may have broken IIROC rules and, as a result, been subject to an IIROC disciplinary proceeding. This section provides the most up-to-date information on IIROC disciplinary proceedings.
The Investment Industry Regulatory Organization of Canada (IIROC) regulates all Canadian investment dealers and their approved employees and agents.
Individuals wanting to work at IIROC-regulated firms in specific roles (for example as a Registered Representative or an Investment Representative) must apply to IIROC for approval. Before approving these individuals, IIROC checks their qualifications and background to ensure that they meet IIROC’s requirements . Certain categories of employment (such as administrative assistants, IT specialists) do not need to be approved by IIROC. A full list of roles that require IIROC approval is provided in this Report and in the “Frequently Asked Questions” on the IIROC
Please note that in this Report and in the “Know Your Advisor” section of the IIROC web site , we have used the general term ‘advisor’ to refer to a number of official regulatory approval categories such as Registered Representative and Investment Representative. ‘Advisor’ is not, however, an official IIROC approval category for individuals working at IIROC-regulated firms and is not being used to represent an official registration category .
The information provided in this IIROC AdvisorReport comes from the National Registration Database (the Canadian securities industry’s registration database) and IIROC’s public disciplinary records.
The IIROC AdvisorReport displays industry courses that an advisor has passed in connection with an IIROC approval. The report may display additional courses that are not required by IIROC, depending on the disclosures made by the advisor through NRD. For several reasons, the report may not include a complete listing of all additional non required professional or industry courses that an advisor has taken in support of other licenses held, to expand knowledge or to stay current. You should speak to your advisor if you have questions about an advisor’s educational background or courses completed.
With regard to any indications of Regulatory Disclosures which have been made by approved persons through their National Registration Database (NRD) filings, the IIROC AdvisorReport will identify the fact that the individual has made a regulatory disclosure. For several reasons, including the need to protect the interests of third parties who may have been mentioned in the full NRD filing, the Report cannot provide any further detail on the actual disclosures. Investors are encouraged to follow up directly with the advisor to obtain additional information.
This report only provides information about individuals who are currently approved with an IIROC-regulated firm. If you are looking for disciplinary information about an individual who is no longer working for an IIROC-regulated firm please visit: https://www.iiroc.ca/rules-and-enforcement/enforcement
Thank you for using IIROC AdvisorReport.
Welcome to CIRO.ca!
We have a new look! Today is the first day you can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.