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Securities
Industrial Alliance Securities Inc. is a full-service brokerage firm. It is a wholly owned subsidiary of Industrial
Alliance Insurance and Financial Services, a member of IIROC and the Canadian Investor
Protection Fund. It offers a full range of financial products and
services designed to meet your needs.
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Products Offered |
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Secure Site for Representatives |
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Other Sections |
**Industrial Alliance Securities inc is authorized to open accounts only in
the countries, states, territories where it is registered.**
INDUSTRIAL ALLIANCE SECURITIES INC.
Policy concerning the protection of private
information
As a broker in the securities industry, Industrial Alliance
Securities Inc. ("IAS") is apt to collect information of a very
personal nature on the financial situation and investment objectives of
its clients. IAS is aware of the extreme sensitivity of such information
and has always made sure that it is kept strictly confidential.
The purpose of this policy is to confirm, formalize and
promote the protection of personal information on IAS clients, contractors
and employees.
Personal information is defined as being any information
concerning an identifiable individual excluding the name and title of
an employee of an organization and the address and telephone number of
the employee’s workplace.
The information can take any form: correspondence, memorandums,
communications by electronic means, video or audio recording, photograph
or any other document, regardless of its form or characteristics.
2.
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Purposes of Information Collection
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IAS shall at all times identify the purposes for which
personal information is collected at or before the time of collection.
Persons mandated by IAS to collect information should be able to explain
to individuals concerned the purposes for which the information is being
collected.
Information will generally be collected from clients through
the various enrolment, account opening or claim forms which shall clearly
indicate the purposes of the information collection. The sole objective
of the information collected from clients will be to provide the products
and services requested by clients and to respond to their needs for the
duration of their relationship with IAS.
3.
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SRO Access to Personal Information of
Clients and Others for Regulatory Purposes
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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, the “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:
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surveillance of trading-related activity;
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sales, financial compliance, trade desk review and other regulatory
audits;
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investigation of potential regulatory and statutory violations;
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regulatory databases;
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enforcement or disciplinary proceedings;
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reporting to securities regulators, and
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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.
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All persons must be informed of any subsequent collection,
use or communication of personal information about them and provide express
consent for these purposes.
Consent shall be obtained from clients at the time the
information is collected through enrolment, opening of account or claim
request forms and before the information is used or communicated.
Any person may withdraw their consent at any time, subject
to legal or contractual restrictions. IAS must inform the person of the
consequences of such withdrawal, including the possibility that IAS may
not be able to provide a product or the inability to process a request.
5.
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Limitations to Collection, Use, Disclosure
and Retention
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IAS must always proceed by fair and lawful means in the
collection, use, disclosure or retention of information. IAS must not
collect, use or disclose information indiscriminately, except with the
consent of the individual or as required by law.
IAS must limit the amount and type of information collected
to that which is necessary to fulfil the purposes identified. IAS shall
only collect personal information from the person concerned unless this
individual consents to IAS collecting it from third parties.
IAS shall retain personal information only as long as necessary
for the fulfilment of the purposes for which it was collected and the
information must be destroyed in accordance with IAS guidelines with respect
to the retention of files.
IAS shall occasionally share personal information concerning
clients with suppliers or mandatories to ensure the management of the
selected products or to provide the required services. These suppliers
or mandatories shall have to commit themselves to comply with privacy
legislation before any communication of information.
IAS may establish a list of its clients and share this
list with subsidiaries of the Industrial Alliance Group. The purpose of
this list shall be to allow IAS to better serve its clients by offering
relevant and available products and services. Clients may request that
their name be withdrawn from such list by writing to the access to information
officer at the address provided in section 9 of this policy.
IAS shall not sell client lists under any circumstances.
IAS shall apply methods aimed to ensure that personal information
is as accurate, complete, and up-to-date as necessary for the purposes
for which it is to be used.
IAS is responsible for personal information in its possession
or custody, including information that has been transferred to a third
party for processing.
IAS shall ensure that each department has implemented procedures
to apply the principles of this policy. IAS shall adequately inform and
train its employees on the Company’s policies and procedures with
respect to the protection of personal information.
IAS has implemented and continues to implement appropriate
safeguards to that the personal information remains strictly confidential
and that it is protected against loss or theft, as well as unauthorized
access, disclosure, copying, use, or modification.
9.
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Access to Personal Information
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IAS policies and procedures concerning the protection of
personal information shall be readily available to anyone. IAS must inform
an individual of the existence, use, and disclosure of his or her personal
information and his or her right to access the information.
An individual shall be able to challenge the accuracy and
completeness of personal information and have it amended as appropriate.
IAS shall respond to an individual's request for information
within a reasonable time. In addition, the fee charged for processing
the request shall also be reasonable. Any request for access to information
or request for amendment must be sent to the following address:
Industrial Alliance Securities Inc.
Access Officer
2200 McGill College avenue
Suite 350
Montreal, QC
H3A 3P8
Member of IIROC
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Member
of Canadian Investor Protection Fund
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