Report on Controls

Consistent with RBC Investor & Treasury Services' commitment to quality, we have strict internal controls and processes in place to ensure that client assets and information are protected.

Regular independent audits of these controls and processes are performed in accordance with established and recognized standards, including the International Standard on Assurance Engagements (ISAE) 3402 "Assurance reports on Controls at a Service Organisation" issued by the International Auditing and Assurance Standards Board and/or where applicable, Statements on Standards for Attestation Engagements (SSAE) 18, "Reporting on Controls at a Service Organisation", and Canadian Standard on Assurance Engagements (CSAE) No. 3416 "Reporting on Controls at a Service Organization." The auditors are responsible to express an opinion on suitability of the design and operating effectiveness of the controls to achieve the related control objectives.

RBC Investor Services Trust

We commission our external auditors to review the control objectives and procedures of RBC Investor Services Trust twice annually. The Report on Controls is an independent assessment of our control procedures, including:

  • Pension, fund, trust and custody services
  • Global securities lending and finance services

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RBC Investor Services Bank S.A.

We commission our external auditors to review the control objectives and procedures of RBC Investor Services Bank S.A. on an annual basis. The Report on Controls Placed in Operations and Tests of Operating Effectiveness is an independent assessment of our control procedures, including:

  • Shareholder services, fund and administration and custody services for our Luxembourgish and Irish clients
  • Real estate and private equity activities

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