Client Access Disclosure

SRO Access to Personal Information of Clients and Others for Regulatory Purposes:

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:

        Surveillance of trading-related activity

        Sales, financial compliance, trade desk review and other regulatory audits

        Investigation of potential regulatory and statutory violations

        Regulatory databases

        Enforcement or disciplinary proceedings

        Reporting to securities regulators

        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.