Please read these terms before using this site.
- The Collection and
Use of Personal Information by Brant Securities Limited (BSL)
When you open an account with BSL we will obtain personal information about you, which is kept
on file in accordance with industry regulations. Only authorized individuals
and entities have access to this information. This collection of data permits
BSL to both tailor products and services specifically to your needs and satisfy
legal and regulatory requirements.
- Social Insurance Number (SIN)
If you are an individual, BSL will disclose your SIN number to Canada Customs and Revenue
Agency for tax reporting purposes.
- Disclosure of Personal Information to External Sources
BSL will disclose your personal information to its carrying broker National Bank Correspondent
Network and therefore the service providers they use in order to provide you
with necessary services, such as, but not limited to, record keeping and the
creation of statements. BSL may also verify certain information provided by you
with other external sources, namely, but not limited to, your banking
institution. Such matters typically being to determine if an account is open
with that institution and in good standing.
- Affiliated Companies
BSL may from time to time disclose your personal information to companies affiliated with BSL for
the purpose of making related products and services available to you.
Your consent is required before BSL can provide your information to any third party. The
consent that you provide to BSL with regards to the collection, use and
disclosure of your personal information may be cancelled at any time by
providing written notice to BSL. By law BSL does not require your consent to collect,
use and disclose your personal information where:
- Such collection, use and disclosure is reasonably required in the normal course of business, namely
the providing of investment advice and services to you;
- For the collection of debts owed to BSL by you;
- To a law enforcement agency or government securities regulatory authority; and
- To BSL’s legal counsel for the purposes of obtaining advice.
By opening an account at BSL, you are providing consent to BSL to collect, use and disclose your
personal information as set out in this disclosure.
- Corrections to Personal Information
You can review your information held by BSL at anytime and make corrections to it. We require that
such corrections be submitted in writing. You should address all corrections,
questions or privacy-related complaints to the Chief Compliance Officer, Brant
Securities Limited Suite 300, 220 Bay Street, Toronto, Ontario, M5J 2W4
- Retention of Personal Information
BSL may retain your personal information on file even if you cease to be a client of BSL for as
long as BSL is required to maintain such information by either law or a
government securities regulatory agency, or an SRO1.
- SRO Access to Personal Information of Clients and Others for Regulatory Purposes
For regulatory purposes, SRO’s require access to personal information of current and former
clients, employees, agents, directors, officers, partners and others, that has
been collected or used by BSL. SRO’s collect, use or disclose such personal
information obtained from BSL for such regulatory purposes, as:
- Surveillance of trading-related activities,
- Sales and financial compliance audits, trade desk reviews, and other regulatory audits,
- Investigations 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-regulatory organisations and law enforcement agencies in any jurisdiction
in connection with any of the foregoing.
BY OPENING AN ACCOUNT AT BSL, YOU ARE PROVIDING CONSENT TO BSL TO COLLECT, USE AND
DISCLOSE YOUR PERSONAL INFORMATION AS SET OUT IN THIS AGREEMENT.
1 Self regulatory organisations (“SRO’s”) include 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.
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