In addition to the disclosures listed here, Canaccord Genuity maintains the following policies and makes the following disclosures.
Statement on Anti-Money Laundering, Anti-Terrorist Financing and Sanctions Measures
Canaccord Genuity Corp. is committed to compliance with Canadian anti-money laundering, anti-terrorist financing and sanctions (AML) measures and their objectives. Our AML program is the responsibility of our appointed Chief Anti-Money Laundering Officer (CAMLO) and includes the following elements, each with supporting policies, to comply with those measures and to prevent our products and services for being used for money laundering, terrorist financing or sanctioned activities:
- Board and senior management oversight;
- Risk assessments and mitigation measures;
- Documented policies and procedures;
- Client identification;
- Ongoing monitoring;
- Customer and transaction screening against relevant watch-lists;
- Regulatory reporting;
- Training for employees and other who act on behalf of Canaccord Genuity Corp.;
- Testing and independent reviews of the AML program effectiveness; and,
- Record-keeping and retention.
The AML program is routinely evaluated, updated and enhanced in order to reflect changes to Canaccord Genuity Corp’s activities as well as applicable measures.
Best Execution Disclosure
Best Execution Disclosure Blacklined
National Instrument (NI) 24-101 RE: TRADE MATCHING AND SETTLEMENT Trade Matching Statement (Customers of Canaccord Genuity Corp.)
Please read our certification letter.
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, Martin Stead 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
Click here to view Order Handling and Execution Policy ENGLISH
Click here to view Order Handling and Execution Policy FRENCH
Conflict of Interest Policy Summary for Institutional Clients
Conflict of Interest Policy Summary for Institutional Clients - English Version
Conflict of Interest Policy Summary for Institutional Clients - French Version
Accessible Client Service Policy
Canaccord Genuity Corp. (“Canaccord”) is committed to excellence in serving all clients, including clients with disabilities, while bearing in mind the principles of independence, dignity, integration and equal opportunity.
Multi-Year Accessibility Plan (English) / Multi-Year Accessibility Plan (French)
Assistive Devices
Canaccord will ensure that our employees and agents are trained and familiar with various assistive devices that may be used by clients with disabilities while accessing our services and facilities.
Service Animals
We welcome clients with disabilities and their service animals. Service animals are allowed on the parts of our premises that are open to the public.
Support Persons
A client with a disability who is accompanied by a support person will be allowed to have that person accompany them on our premises.
Service Disruptions
Canaccord will provide clients with notice in the event of a planned or unexpected disruption in all the facilities or services used by clients. Notices will include information about the reason for the disruption, the anticipated duration of the disruption, and a description of alternative facilities or services, if available.
Notices will be placed at all public entrances, service counters located on the premises, and if appropriate, Canaccord websites and outgoing telephone messages.
Training
Canaccord will provide training to all employees on our accessible client service policy. This training will include:
- An overview of the Accessibility for Ontarians with Disabilities Act, 2005 and the requirements of the customer service standard
- Canaccord’s plan related to providing accessible customer service
- How to interact and communicate with people with various types of disabilities
- How to interact with people with disabilities who use an assistive device or require the assistance of a service animal or a support person
- What to do if a person with a disability is having difficulty in accessing Canaccord’s goods and services
Employees will be trained as soon as practical following their date of hire, no more than 90 days after their start date, as well as when changes occur to applicable policies, procedures and practices.
All documents required by the Accessibility Standards for Customer Service will be available upon request, subject to privacy protection laws. When providing such documents to a person with a disability, Canaccord personnel will provide the document, or the information contained in the document, in a format that takes into consideration the person's disability.
Feedback process
Canaccord is committed to providing high quality service to all of our clients. Feedback from clients about the delivery of services to persons with disabilities may be given in confidence by telephone, in person, in writing, in electronic format or through other methods.
Email to
Canaccord HR [canaccordhr@canaccord.com]
Mail or deliver to
Canaccord Genuity Corp.
Human Resources
2200 – 609 Granville Street
Vancouver, BC
V7Y 1H2
Telephone
1-800-663-1899 (please ask for someone in Human Resources)
Fax to
604.601.5977