Policy packs · Portfolio Manager / Adviser
Portfolio managers & advisers policy pack
Ready-made privacy, acceptable-use, AI, and client-consent documents written for portfolio managers & advisers, in Canadian and US variants with the correct laws and regulators built in. Lavawall® generates them from the security and IT data you already collect, so the wording matches the safeguarding duty under securities regulation.
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Privacy · acceptable use · AI · client consent · Canadian & US variants
Written around what portfolio managers & advisers actually handle
Portfolio managers & advisers handle client portfolios, KYC records, and financial plans. Instead of a generic template, each document in the pack is written around that data and the safeguarding duty under securities regulation, in plain language, and generated from the security and IT data you already collect.
The laws and regulators built in
Every pack ships in Canadian and US variants with the right rules referenced for each, so you are not editing a template to guess what applies.
Canadian variant
- CSA Staff Notice 33-322 (NI 31-103 s.11.1)
- PIPEDA and provincial privacy law
US variant
- SEC Regulation S-P
- State privacy and breach laws
In every portfolio managers & advisers pack
Privacy policy
How personal information is collected, used, protected, and disclosed, tailored to your data.
Acceptable-use policy
Clear rules for staff on systems, devices, and data, for the way you actually work.
AI-use policy
Guardrails to adopt AI tools without exposing sensitive or confidential data.
Client-consent documents
Consent language that fits your relationship and jurisdiction.
Because the pack is generated from your live security and IT data, it stays accurate as your posture changes, instead of a stale template you have to defend.
Generate your portfolio managers & advisers pack
The GRC Wizard takes your industry and compliance requirements into account, then builds the right documents from the data you already collect.
Frequently asked questions
How are these documents generated?
Lavawall builds them from the security and IT data you already collect, so the wording matches what your organization actually does rather than a generic template, and it stays current as your posture changes.
Do the documents cover Canadian and US law?
Yes. Every pack comes in Canadian and US variants with the right privacy laws and regulators referenced for each jurisdiction.
Which securities rules does this reference?
For a portfolio manager or adviser, the Canadian variant references CSA Staff Notice 33-322 and the NI 31-103 section 11.1 safeguarding obligation, rather than the CIRO dealer reporting rules.
Do you cover US advisers?
Yes. The US variant references SEC Regulation S-P safeguarding and the state privacy laws that apply where your clients are.