JONES,
GABLE & COMPANY LIMITED
PRIVACY
POLICY DISCLOSURE
On January 1, 2004, the Personal Information
Protection and Electronic Documents Act (Canada) (“PIPEDA”) took effect.
This legislation is designed to help safeguard your personal information and applies
to all organizations that collect, use, or disclose personal information in the
course of commercial activities.
Jones, Gable & Company Limited
(“JGCL”) is committed to protecting the personal information that you share
with us, including the details of the advisory relationship that you have with
your investment advisor.
As a result of this commitment, we
have developed a privacy policy based on PIPEDA and wish to provide you with
the following summary.
When you open an account with JGCL
you provide us with certain personal information. This information includes
your name, address, age, certain financial information, identification numbers
(including your social insurance number which is used for income tax reporting
purposes as required under the Federal and Quebec Income Tax Acts and for
internal administrative purposes), your employment information, your investment
objectives, investment knowledge and risk tolerance.
We use this information primarily
to:
- Analyze the suitability of financial
products and services;
- Protect you and JGCL against error and
fraud; and
- Comply with legal and regulatory
requirements, and;
- Set up and manage your account(s) and
products and services that you have requested.
Your personal information can also
be used to identify other services and products that are offered by JGCL, such
as externally managed mutual funds, our data processing provider and our
clearing broker, MRS Securities
Inc. For Regulatory purposes, self-regulatory organizations including Market
Regulation Services Inc., the Investment Dealers Association of Canada, Bourse
de Montreal Inc., and the Canadian Investor Protection Fund (collectively,
“SROs”) require access to personal information of current and former clients,
employees, agents, directors, officers, partners and others that has been or is
used by Jones, Gable & Company Limited (“Regulated Persons”). SRO’s collect, use or disclose such personal
information obtained by regulated persons for regulatory purposes, including:
- Surveillance of trading-related
activity,
- Sales, financial compliance, trade desk
review and other regulatory audits,
- Investigation of potential regulatory
and statutory violations,
- Regulatory databases,
- Enforcement or disciplinary
proceedings,
- Reporting to securities regulators, and
- Information-sharing with securities
regulatory authorities, regulated marketplaces, other self-regulator
organizations and law enforcement agencies in any jurisdiction in connection
with any if the forgoing.
We take our responsibility for
protecting the confidentiality of your personal information very seriously and
value your choice in sharing this information with us. If you would like to
confirm or update any of your information please notify your Registered Representative.
If you have any questions or concerns regarding your information, please do not
hesitate to contact our Chief Compliance Officer, Mr. Todd Doige at (416)
365-8060.
STATEMENT
OF POLICIES CONCERNING CONFLICT OF INTEREST WITH RELATED ISSUERS AND CONNECTED ISSUERS AS AT JULY 2006
Securities laws of certain jurisdictions of Canada require
securities dealers and advisors, when they trade in, or advise with respect to,
their own securities or securities of certain other issuers to which they, or
certain other parties related to them, are related or connected, to do so only
in accordance with particular disclosure and other rules. In certain provinces
and territories, these rules require dealers and advisors, prior to trading
with or advising their customers or clients, to inform them of the relevant
relationships and connections with the issuers of the securities. Client and
customers should refer to the applicable provisions of those securities laws
for the particulars of these rules and their rights or consult with a legal
advisor.
General
Under certain circumstances we may deal with or for you in
securities transactions where the issuer of the securities or the other party
to the transaction is a party having an ownership or business relationship with
us.
Since these transactions may create a conflict between our
interests and yours, we are required by securities laws to disclose to you certain
relevant matters relating to the transactions. This Statement contains a
general description of the required disclosure.
Important
Concepts
“Related Issuer” A party is related to us if, through the ownership of or
direction or control over voting securities or otherwise, we exercise a
controlling influence over that party.
“Connected Issuer” A party is connected to us if, due to indebtedness or
certain other relationships, a prospective purchaser of securities of the
connected party might question our independence from that party.
Required
Disclosure
We must make certain disclosures where we act as your
broker, advise you, or exercise discretion on your behalf with respect to
securities issued by a related party or, in the course of an initial distribution,
by a connected party. In these situations, we must disclose either our
relationship with the issuer of the securities. We must also make a disclosure
to you where we know or should know that, as a result of our acting as your
broker or advisor, or of our exercising discretion on your behalf, securities
will be purchased from or sold to us, an associated party or, in the course of
an initial distribution by a connected party.
The following is a list of the time and manner in which
these disclosures must be made:
Where we underwrite securities, the
required disclosure will be contained in the prospectus or other document being
used to qualify those securities.
Where we buy or sell securities for
your account, the required disclosure will be contained in the confirmation of
trade that we prepare and send to you.
Where we advise you with respect to
the purchase or sale of securities, the disclosure must be made prior to our
giving the advice
In addition, where we exercise discretion under your
authority in the purchase or sale of securities for your managed account, we
may not exercise that managed account discretion for the types of transactions
described above unless we have obtained your prior specific and informed
written consent.
We may, from time to time, be deemed to be related or
connected to one or more issuers for the purpose of the disclosure and other
rules of the securities laws referred to above. We are prepared to act as an
advisor, dealer and underwriter in the ordinary course of our business to, and
in respect of, any such related or connected issuer and in connection therewith
to provide the full range of services customarily provided by us to and in
respect of securities of other issuers. In any such case, such investment dealer
and other services shall be carried on by us in the ordinary course of our
business as an advisor, dealer or underwriter in accordance with our usual
practices and procedures and in accordance with all applicable disclosure and
other regulatory requirements.
Jones, Gable & Company Limited or its directors,
officers, partners, salespeople or other employees may, from time to time,
recommend that you trade in, or provide to you advice about, a security issued
by these listed persons or companies. If you wish further information
concerning the relationship between Jones, Gable & Company Limited and
these listed persons or companies, or if you have any questions, please contact
Mr. Todd Doige, Chief Compliance Officer at (416) 365-8060.
List of Related Parties:None
List
of Connected Parties:
Impax Venture Income Fund Inc. Normiska Corporation
Macdonald Mines Exploration Ltd. Menora Resources Inc.
International Starteck Industries Cimatec Environmental
Engineering
Birim Goldfields Inc. FNX
Mining Company Inc. Ursa Major Minerals Inc.
SERVICE FEE
SCHEDULEEFFECTIVE DECEMBER 1, 2006
Amounts shown
are inclusive of GST where applicable.
| All accounts |
|
|
| Transfer of entire account to another financial institution |
|
$ 100.00 |
| - Transfer of individual securities to or from an account at
another domestic financial institution
|
|
$ 10.00 per security |
| - Registration of physical certificate |
|
$ 25.00 + CDS and transfer agent fees |
| - Deposit of physical certificate - domestic issuer |
|
$ 10.00 + CDS and transfer agent fees |
| - Deposit of physical certificate - foreign issuer |
|
$ 25.00 + CDS, transfer agent, and custodian fees |
| - Settlement of trade in security a of non-North American issuer |
|
$ 75.00 |
| Registered Accounts |
|
|
| - Annual administration fee |
|
$ 100.00 |
| - Full deregistration |
|
$ 50.00 |
| - Partial deregistration |
|
$ 25.00 |
| Banking |
|
|
| - Returned cheques |
|
$ 25.00 |
| - Cheque certification |
|
$ 10.00 |
| - Wire transfers |
- Within Canada
- Outside Canada |
$ 20.00
$ 10.00 + cost |
| - Deposit cheque at bank (certification may be required) |
|
$ 10.00 |
| - Early settlement |
|
½ of 1%, minimum
$15.00 |
| Records search |
|
|
| - Records search within last twelve months |
|
$ 10.00 + $1.00/page |
| - Records search prior to last twelve months |
|
$ 100.00 + $1.00/page |
| - Annual trading summaries |
|
$ 20.00 |
