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Investment Dealers 

Investment Dealers have been through a difficult period with decreased capital market activity that has put a strain on earnings and regulatory capital. Even though the stock market seems to be rebounding, transaction volumes have been low. In addition, an industry wide consolidation trend is also expected to continue.

Investment Dealers

KPMG’s Investment Dealer practice can help clients deal with all these issues. We work with organizations primarily regulated by the Investment Industry Regulatory Organization of Canada or the Mutual Fund Dealers Association of Canada.


Practical and Objective Advice:


Our experienced Audit, Tax, and Advisory professionals work with every segment of the Investment Dealer Industry – from bank-owned and independent full-service dealers, to boutique firms and mutual fund dealers. We strive to continually understand our clients’ issues and provide practical and objective advice on matters such as:


  • Risk Management
  • Cost Management
  • Tax Strategy
  • Regulatory Compliance


Please contact us to find out more about how we can help you.

Mark L. Smith

Mark L. Smith

National Industry Leader, Financial Services


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