Legal Conditions

Conditions imposed by self-regulatory organizations

Regulatory Notice

For regulatory purposes, self regulatory organizations including Market Regulation Services Inc., the Investment Dealers Association of Canada, the Mutual Fund 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 collected or used by Regulated Persons. SROs collect, use or disclose such personal information obtained from Regulated Persons for regulatory purposes, including:

  • Regulatory databases,
  • Surveillance of trading-related activity,
  • Enforcement or disciplinary proceedings,
  • Reporting to securities regulators,
  • Investigation of potential regulatory and statutory violations,
  • No account will be open in the jurisdictions where the company CTI and its representatives are not registered,
  • Sales, financial compliance, trade desk review and other regulatory audits,
  • Information-sharing with securities regulatory authorities, regulated marketplaces, other self-regulatory organizations and law enforcement agencies in any jurisdiction in connection with any of the foregoing.

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