Established in August 2002 and has grown to over $20 billion in assets under management, making it an industry-leading investment firm in Canada

Water running over the rocks at Athabasca Falls  in Jasper National Park

ATB Investment Management Inc. (ATBIM) is a wholly-owned subsidiary of ATB Financial (ATB). 

We are a subsidiary, that, along with ATB Securities Inc. and our private banking offer, operates under the registered trade name ATB Wealth.

ATBIM is registered both as a portfolio manager and investment fund manager and undertakes three primary activities: 

Investment Fund Management

ATBIM is responsible for the management of the Compass Portfolios and the ATBIS pools, which are prospectus-qualified mutual funds. With a twenty-year track record spanning multiple market cycles, our deliberate and structured approach has deep roots and the program is continuously refined and enhanced.

Our core investment philosophy guides our focus in building and developing our products, as well as in selecting active and passive managers as an extension of our investment team, to deliver on our sub-advised model. 

Our fund portfolio managers are Chartered Financial Analyst (CFA) charterholders and adhere to the CFA Code of Ethics and Standard of Professional Conduct

What does ATBIM governance look like?

Investment committee

The ATBIM Investment Committee is responsible for providing ongoing asset mix guidance to all ATBIM portfolio managers and investment counsellors, ensuring a consistency in investment philosophy, portfolio construction principles and capital market assumptions. This provides our client facing portfolio managers with the flexibility to provide investment solutions that are customized for individual client needs while still following our overarching investment philosophy. 

Responsibilities of the committee include, but are not limited to:

  • Articulate, promote and embody ATBIM’s unique investment philosophy and statement of beliefs.
  • Provide a forum for peer review and discussion as it relates to the portfolio management process.
  • Provide strategic asset allocation guidance to ATBIM Portfolio Managers and Investment Counselors.
  • Monitor the effectiveness of ATBIM portfolios in achieving investment objectives and recommending changes where appropriate.
  • Establish and oversee a process for regular reviews and due diligence for existing and prospective sub-advisors by asset class.

In addition to the Investment Committee there is a stable regulatory framework wrapped around ATBIM. 

Ultimate designated person

The President of ATBIM is the ultimate designated person (UDP). The UDP supervises the overall activities of ATBIM that are directed towards ensuring compliance with securities legislation while promoting compliance by the firm, and individuals acting on its behalf, with securities legislation.

Our compliance program

ATBIM’s Chief Compliance Officer and team help to enable a client experience that is seamless but within the rules and laws prescribed by our regulators. ATBIM aims to provide a principled approach to applying regulation across our workflows in order for client portfolios and transactions to be managed effectively, efficiently and beyond reproach. ATBIM has established and maintains policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation.

Independent Review Committee

ATBIM has established an independent review committee ("IRC") which acts as an impartial and independent committee to review and provide recommendations or, if appropriate, approvals with respect to any conflict of interest matters. IRC oversight ensures that there are no conflicts of interest that would be harmful to unit holders.

Ethics and Standards of Professional Conduct

In addition to adhering to registration standards, ATBIM’s portfolio managers and investment counsellors are Chartered Financial Analysts (CFA) or candidates in the program. This designation compels charterholders and candidates to adhere to the CFA Code of Ethics and Standard of Professional Conduct.