Protection of Personal Information

Your information and the business you do with us is kept in strict confidence. Only authorized personnel have access to your information. We collect, use and disclose personal information that a reasonable person would consider appropriate for the circumstances. Our procedures and systems are designed to protect your information from error, loss and unauthorized access. We keep your information for only as long as it is needed and/or required by regulation. We monitor our compliance with applicable privacy legislation. To help serve you better, we may review and analyze your use of products and services, including transactions in your account(s), to help protect you from unauthorized use of your account(s). Self-regulatory organizations (“SRO”) and other regulatory authorities require access to your personal information. Regulatory authorities collect, use or disclose such personal information obtained from regulated persons for regulatory purposes. You understand that in this document you are giving permission to your Approved Person (referred to as “Advisor”), to obtain and keep on file personal information that you have provided to him/her. You understand that this personal information, not publicly published about you, may include but is not limited to: income tax information, account statements from other firms, including banks, trust companies or fund companies, pension plan information and legal documents, including wills, trusts, and power of attorney. You understand that your De Thomas Wealth Management Advisor may use and disclose this information in order to: communicate with you in a timely and efficient manner, assess your application for investment and other services available to you by his/her firm, assess your financial situation and contact you with any other suitable products that he/she is authorized to sell, detect and prevent fraud, analyze business results, and act as required or authorized by law.

 

You understand that you have the following rights concerning your privacy: You have the right to know why an organization collects, uses or discloses your personal information. You have the right to expect an organization to handle your information reasonably and to not use it for any purpose other than the one to which you consented; you have the right to know who in an organization is responsible for protecting your information; you have the right to expect an organization to protect your information from unauthorized disclosure; you have the right to inspect the information an organization holds about you and make sure it is accurate, complete and current; you have the right to expect an organization to destroy your information when requested or when no longer required for the intended original purpose; you have the right to confidentially complain to an organization about how it handles your information and may escalate your complaint to the Privacy Commissioner of Canada if need be; and you have the right to remove your consent at any time by contacting your Advisor in writing. You understand that your Advisor will NOT: sell your information to anyone, or share your information with organizations outside of our relationship that would use it to contact you about their own products or services.

 

Your Advisor must also decline to accept or administer an account in respect of which an individual does not consent to such intended collection, use or disclosure of personal information to SROs and the use and disclosure of that information by SROs.

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