(Effective July 1, 2020) Canadian provincial and territorial securities laws require securities registered firms such as ATB Capital Markets Inc. ("ATB Capital Markets") when we trade in or advise in securities of certain issuers to which we, or certain other parties related to us, are related or connected, to do so only in accordance with particular disclosure and other rules. Further, these rules require us, prior to trading with or advising our clients, to inform clients of the relevant relationships and connections with the issuer of the securities. Clients should refer to the applicable provisions of the relevant securities laws for the particulars of these rules or consult with a legal advisor. This disclosure is being provided as part of an ongoing effort to keep you, the client, better informed about factors that could potentially impact decisions you make regarding your brokerage account with our firm.
“We” or “us” shall mean ATB Capital Markets for the purpose of this statement. Under certain circumstances, we may deal with or for you in securities transactions where the issuer of the securities has an overlapping ownership or board level governance relationship with ATB Capital Markets Inc. Since these transactions may create a potential conflict between our interests and yours, we are required by securities law to disclose to you certain relevant matters relating to these transactions. This statement contains a general description of the required discloser.
Related Issuer is a person or company related to us if:
(a) the person or company issuing securities is an influential securityholder of us,
(b) we are an influential securityholder of the person or company issuing securities, or
(c) we, and the person or company issuing securities, are each a related issuer of the same third person or company.
Connected Issuer means an issuer or selling securityholder distributing securities where the issuer or selling securityholder, or a related issuer of the issuer or selling securityholder, has a relationship with any of the following persons or companies that may lead a reasonable prospective purchaser of the securities to question if we are independent of the issuer or selling securityholder for the distribution:
(b) a related issuer to us;
(c) a director, officer or partner employed by us; or
(d) a director, officer or partner of a related issuer to us.
We must make certain disclosures where we act as your broker, or advise you with respect to securities issued by a Related or Connected Issuer. For a Connected issuer we must make certain disclosures if we act as an underwriter in the course of an initial distribution (i.e. an offering from treasury by prospectus or an offering from a control block). In both of these situations, we must disclose our relationship with the issuer of these securities.
The following lists the manner in which these disclosures must be made:
We may, from time to time, be deemed to be related or connected to one or more issuers for purposes of disclosure and other rules of the securities law referred to above. We are prepared to act as an advisor, dealer or underwriter in the ordinary course of our business to, and in respect of securities of, any such Related or Connected Issuer and in connection therewith to provide the full range of service customarily provided by us to and in respect of securities of other issuers. In any such case, such investment dealer and other services shall be carried on by us in the ordinary course of our business as an advisor, dealer or underwriter in accordance with our usual practices and procedures and in accordance with all applicable disclosure and other regulatory requirements.
ATB Capital Markets Inc. or its directors, officers, salespeople or other employees may, from time to time, recommend that you trade in, or provide to you advice about a security issued by the companies listed below.
The following issuers may be related to us as at July 1, 2020.
The following issuers may be connected to us, because of common directorships and/or ownership, as at July 1, 2020.
Should you have any questions, please contact your Investment Advisor.
© 2020 ATB Capital Markets Inc. All Rights Reserved. ATB Capital Markets Inc. is a member of IIROC and CIPF (Canada) and ATB Capital Markets USA Inc. is a member of FINRA and SIPC (USA).
ATB Business is a unit of ATB Financial which provides financial services to commercial enterprises from small businesses to corporates.