This informs you of Alignvest Management Corporation and its affiliates’ (collectively, “Alignvest”) policies on privacy and the steps we take to ensure the protection of your privacy and the confidentiality of your personal information. Alignvest is guided and governed by the Personal Information Protection and Electronic Documents Act (PIPEDA), which regulates the private sector’s collection, use and disclosure of personal information.


Collecting Information:

When collecting personal information from you, we will explain what information we collect and how we intend to use it.

Disclosing Information:

We will only disclose your personal information to other parties where we have your consent or we are required or permitted to do so by law.

Protecting Information:

We will take appropriate steps to protect your information. We will retain your information for as long as it is necessary to provide our services or as required by law or by industry regulations.

Providing Access:

Upon your request, we will provide you with access to your personal information as required by law. We will take reasonable steps to ensure that your personal information is accurate and up-to-date.

Addressing Your Concerns:

We will address and respond to any concern you may have about our handling of your information.


Why We Need Your Information

We are focused on providing advice that is directly applicable and relevant to your circumstances. The more we know and understand about you and your circumstances, the better position we will be in to provide our services. In addition to our commitment to providing you with a certain level of service, industry regulations may require that we obtain a minimum amount of information about you. Therefore, we also ask for certain information when you open an account with us.
Industry standards demand that we know your financial information to help us identify investments and services which are suitable for you. We base investment recommendations and services to you on the information you provide us.

Products and Services

We will use your information to help us serve you better by identifying opportunities and services which may be of use to you. Using this information within Alignvest will help ensure that the information we have on file for you is complete and up-to-date.

Third Parties and Service Providers

With your consent, we may obtain personal information about you from third parties. This information helps us to assess your eligibility for certain products and services.
We may also disclose your personal information to service providers. However, we will ensure that service providers have similar safeguards and a similar privacy policy or that they agree to abide by ours. We are also obliged by law to provide your information to regulatory bodies within the investment industry, to government agencies or law enforcement agencies with a legal right to collect such information, or when we are in receipt of a valid court order or search warrant. As well, we may disclose your personal information as a result of a future transfer or sale of all or part of our business.

Protection of Information

We have appropriate security measures in place to protect your personal information against unauthorized access, use, alteration or destruction. We also provide training to our employees so that they will understand the need for confidentiality when dealing with your information. We retain your information only as long as we need it to provide our services, or as long as industry regulations demand. When we no longer need your information, we will delete electronic records and destroy physical records.

Accuracy of Information

Having accurate personal information about you will enable us to give you the best possible service. We expect that you will provide us with updated information when you move or change telephone numbers, or when there are any other material changes in your information. If you detect any errors in the information you have provided to us (such as the information appearing on your copy of your application form), please let us know immediately.

Your Right to Withdraw Consent

When you sign the documentation required to open your account, you will see that within that documentation is our Privacy Policy. By opening an account with us, you are providing your consent for us to collect, use and disclose your personal information in the ways and for the purposes stated in the Privacy Policy. If at any time you wish to withdraw this consent, please advise us. However, please note that withdrawing consent may mean that we will be unable to provide certain services to you. We will explain any consequences of withdrawing consent, should you choose to do so.

Online Services

When you send us an e-mail, we learn your exact e-mail address as well as any other information you may have included in the e-mail. While we may use your e-mail address to reply to you, we do not make your e-mail address known to anyone outside Alignvest. We may also send certain required information to you via e-mail if you have requested that we do so. At any time you can tell us to stop sending information to you by e-mail. Please keep in mind that information sent via e-mail is generally unencrypted. Please do not send us sensitive or confidential information via e-mail.

Contacting Alignvest

Alignvest’s Chief Compliance Officer can be reached by email. He is responsible for training our employees in our privacy policies and for monitoring the fulfillment of our privacy commitments. We invite any client or prospective client to contact him for any additional clarification desired. A client wishing to review his or her personal information in our possession should send a written request to this effect to Alignvest’s Privacy Officer.