Privacy Policy

R.J. O'BRIEN & ASSOCIATES CANADA INC. [RJO Canada] PRIVACY AGREEMENT

1. Collection of Personal Information

When you open an account with RJO Canada, we collect, use and disclose your personal information in the course of providing financial and related services to you. The personal information that we collect from you includes:

  • Financial information
  • Address
  • Banking information
  • Social insurance number and date of birth (if you are an individual)

2. Use and Disclosure of Personal Information

RJO Canada may use and disclose your personal information for the following purposes:

  • opening and maintaining your account(s) with us
  • providing you with financial products and services you have requested,
  • to a credit bureau or similar service provider for the purpose of verifying your identity(or if you are a corporation or similar entity, the identity of those persons authorized to trade for the account) to meet anti-money laundering regulations and in some cases, to determine your financial viability to trade with RJO Canada,
  • to protect you and us from error and fraud,
  • providing related administrative services,
  • to Carrying Brokers who need to access your personal information to fulfill contractual and regulatory requirements;
  • unless you ask us not to, providing you with information about other products and services that may be of interest to you;
  • to third parties to perform functions or to provide services in support of the products and services we provide (for example, printing statements). When transferring personal information to a third party service provider, we transfer only that personal information which is required in order to perform the function or service for which the third party has been retained, To the extent that any of our affiliates or any of the third party service providers we retain are located outside of Canada, including the United States, personal information transferred to them will be subject to the laws of the foreign jurisdiction where they are located, including those laws governing disclosure of personal information;
  • in the event of a sale or some or all of our business, we may disclose personal information to an acquiring organization, either as part of due diligence and/or on completion of the transaction; and,
  • complying with legal and regulatory requirements, including for example to the IIROC, provincial securities commissions, the
  • various exchanges of which RJO is a member, including exchanges in the United States and Canada Revenue Agency.

3. Consent

By opening an account at RJO Canada, you are providing consent to RJO Canada to collect, use and disclose your personal information as set out in this agreement. We will not use or disclose your personal information for purposes other than those described in this privacy agreement unless we obtain your Prior consent to such use or disclosure is required or permitted by law. For example, RJO Canada does not require your consent to the collection, use and disclosure of your personal information where:

  • Such collection, use and disclosure is reasonably required in the normal course of providing service to your account leg, service
  • providers, carrying broker for equities trading),
  • For the collection of a debt owed to RJO Canada by you,
  • To a law enforcement agency, securities regulatory authority or self-regulatory organization such as the IIROC, various exchanges in Canada and the United States,
  • To legal counsel for the purpose of obtaining advice.

4. Corrections to Personal Information

You may review the information you have provided to RJO Canada and make corrections to it. We may request that you provide corrections in writing. You may address corrections, questions or privacy-related complaints to the Chief Compliance Officer, RJ O'Brien & Associates Canada Inc., Suite 1103-220 Portage Ave., Winnipeg, Manitoba, R3C 0N4.

5. Retention of Personal Information

RJO Canada may retain your personal information on file after you cease to be a client of RJO Canada for as long as RJO Canada requires such information or as long as is demanded by regulatory requirements.

6. Consent to be contacted by Telephone

By executing our account opening documentation, you consent to be contacted by telephone (at the number(s) provided in this application or as provided to RJO Canada from time to time) by an RJO Canada representative concerning information pertaining to your account and/or services provided by RJO Canada. If you have any questions or comments about RJO Canada contacting you by telephone, you may reach us at 1-877- 617-5542.

By opening an account at RJO Canada, you are providing consent to RJO Canada to collect, use and disclose your personal information as set out in this agreement. The terms of our privacy agreement may change from time to time after execution of this agreement. Please refer to our website for any updates.