Our Commitment, your responsibilities
In order to provide the quality service you deserve, it’s important that we inform you of our commitment, as well as mention your responsibilities as a client.
- As a direct broker, we are committed to provide you with outstanding support to help you become a self-directed investor.
- To support you through exceptional customer service.
- To give you access at any time to top-quality direct brokerage services, including:
- a cutting-edge transaction site;
- highly competitive pricing;
- investment information via powerful tools and assistance from our investment representatives;
- a link to the National Bank transaction site for your banking transactions.
- To process your stock market orders promptly and in accordance with your instructions, and send confirmations for each carried out trade in your account.
- To send you a detailed statement of your portfolio each quarter or each month if you carried out transactions during that month.
- To act professionally and comply with applicable securities laws and regulations.
- To safeguard your personal information.
U.S. Foreign Account Tax Compliance Act (FATCA)
Information for Clients.
- You must carefully review your trade confirmations, portfolio statements and other correspondence, and promptly report any errors and omissions.
- You are responsible for conducting the necessary research, reading information documents and prospectuses, and understanding the features of the products you invest in.
- You are responsible for reading and understanding your brokerage account agreement as well as keeping a copy of all agreements for reference purposes. Feel free to ask questions.
- Monitor your securities and consult the information released by issuers by going to various information sites and reading press releases, notices, etc.
- Read any documents sent to you concerning market events or reorganizations that affect your securities.
- Also verify the tax consequences of the products you trade and act accordingly.
- Carefully study the prospectuses of mutual funds and products you are interested in for information on applicable fees and minimum holding periods.
- Always be sure to maintain sufficient cash in your account to settle your transactions.
National Bank Direct Brokerage is committed to the protection of the personal information of its clients. The policies and practices that we have implemented are based on their compliance with the standards set out in the Personal Information Protection and Electronic Documents Act (Canada), as well as any other equivalent provincial law and standards for protecting personal information.
Please refer to the agreement "Conditions governing the collection, use and disclosure of personal information" and the "Confidentiality Policies”.