In addition to the disclosures listed here, Canaccord Genuity maintains the following policies and makes the following disclosures.
For more detail, please visit:
ANTI-MONEY LAUNDERING (CUSTOMER IDENTIFICATION PROGRAM NOTICE) (Customers of Canaccord Genuity Corp.)
Canaccord Genuity Corp. maintains policies equivalent to those described here, pursuant to the Federal Anti-Crime (Money Laundering) Anti-Terrorist Act and IIROC regulation 1300.1.
Back to top
National Instrument (NI) 24-101 RE: TRADE MATCHING AND SETTLEMENT Trade Matching Statement (Customers of Canaccord Genuity Corp.)
Please read our certification letter.
Back to top
PRIVACY POLICY (Customers of Canaccord Genuity Corp.)
As a Canaccord Genuity client, you have entrusted to us your assets and your personal and financial data. We recognize that your relationship with us is based on trust, and that you expect us to act responsibly and in your best interest. Because your personal and financial information is private, we hold ourselves to the highest standards in its safekeeping and use.
We may collect non-public personal information about you from the following sources:
- Information we receive from you on account applications or other forms, such as your name, address, telephone number, social security number/social insurance number, income, assets, and investment objectives;
- Information about your transactions with us, our affiliates, or others, such as your account numbers and balances, investment activity, and other transaction information; and
- Information from employers that administer employee benefits programs through us.
We have adopted polices and procedures that are reasonably designed to ensure the security and confidentiality of customer information which includes consumer report information. In addition, these policies and procedures are designed to prevent unauthorized access to or use of customer records or information that could result in substantial harm or inconvenience to any customer.
We use the information described above when administering your account. We may disclose non-public personal information in order to provide a service or complete a transaction that you request or authorize, or as otherwise required or permitted by the laws and industry standards that apply to us (i.e. anti-money laundering, regulatory requests).
We restrict access to non-public personal information about you to our employees who need to access the information to provide products and services to you. We maintain physical, electronic and procedural safeguards to protect your nonpublic personal information. We keep your information only as long as we need it for the products and services you are using, to offer you products and services when you are a client and for a reasonable time thereafter, or to meet any legal requirements. We have industry regulated retention standards, which we must also meet. We shred/destroy your information when it is no longer needed, or we remove your name from the information. Our privacy policies and procedures will continue to apply to your information even if your account is no longer active.
For your protection, we recommend that you do not provide your account information to anyone. If you become aware of any suspicious activity relating to your account, please contact us at privacy@canaccord.com immediately.
It is important that your account information is accurate and complete as decisions are often made based on it. As a client, you can check the information held in our files to verify, update and correct it, and to have any obsolete information removed. We encourage you to amend inaccuracies and make corrections as often as necessary. Despite our best efforts, errors sometimes do occur. Should you identify any incorrect or out-of-date information in your file(s), we will make the proper changes and provide you with a copy of the corrected information. Where appropriate, we will communicate these changes to other parties who may have unintentionally received incorrect information from us.
We will deal quickly with your request to see your information, and always respond to you within 30 days. If we need to extend the time, or we have to refuse your request, we will tell you why, subject to any legal restrictions, and we will notify you of the new deadline, the reasons for the extension, and your rights under applicable legislation respecting the extension.
You may receive notices of changes to our privacy policies and procedures or periodic updates of this notice, as required by law.
At Canaccord Genuity, we are proud of the trust and confidence we have earned from you. We will continue to earn that trust and confidence by keeping your non-public personal information secure and confidential.
Canaccord Genuity Corp. has a designated Privacy Officer who oversees privacy governance including policy, dispute resolution, education, and communications'. Findings are reported to our Board of Directors and Senior Management. The Privacy Officer/s can be contacted as follows:
In Canada contact our Privacy Officer, Bruce Maranda via email at privacy@canaccord.com or in writing to Canaccord Financial Inc., P.O. Box 10337 Pacific Centre, 2200 - 609 Granville Street, Vancouver B.C. V7Y 1H2
Back to top