ATB Capital Markets Inc. is committed to making full and transparent disclosures wherever required by policy, regulation, or law. If you access or use this Website or other client communications produced by ATB Capital Markets, you acknowledge that you have read, understood, and agree to accept and be bound by the terms of the Terms of Use and Disclaimers set out below. If you do not accept any of the terms of use or disclaimers below, please discontinue use of this Website, and any of our associated pages or client communications.
Table of Contents
- Terms of Use
- Best Execution Policy
- Business Continuity Plan
- CIPF and IIROC Membership
- Client Reports Disclaimer
- Complaints Policy
- General Research Disclaimer
- Investment Banking Newsletter Disclaimer
- Leveraged ETFs Disclaimer
- New Issue Disclaimer
- Privacy Policy Statement
- Related and Connected Issuers
- Sales Newsletters and Securities Disclaimer
- Tax Advice Disclaimer
- Trade Matching Statement
- Trading Policy
- Unclaimed Property Statement
Terms of Use/Legal Notices
Legal Notices
1. Terms of Use
By accessing this web site (www.atbcapitalmarkets.com; the “Website”) you agreed to be bound by these Terms of use (the “Terms”). If you do not agree with the Terms, please do not use this Website. We reserve the right, in our sole discretion, to modify, alter, delete or otherwise update the Terms at any time without notice to you and you agree to be bound by such modifications, alterations, deletions or updates. Accordingly, you should review the Terms each time you access this Website.
2. Use of Information
The content, information and materials (“Content”) contained in or available on this Web Site is for general information purposes only and is made available on an “as is and as available” basis. This Website and its content may be changed, updated, modified, or deleted at any time and without notice. The content of this Website is the property of ATB Capital Markets and it is intended only for the utilization of the user. Credit should be given to ATB Capital Markets for all references to materials published on this site originally. You may not copy or display for redistribution to third parties or for commercial purposes any portion of the content herein. Unless otherwise stated, this Website and its Contents are copyrighted and may not be used with the express permission of ATB Capital Markets. You agree that this Website and its Content will not be used in any claims, proceedings, suits, actions, regulatory complaints or any adversarial process against ATB Capital Markets.
3. Advisor – Client Relationship
The information provided on this website is intended for informational purposes only and is not intended to constitute investment, financial, legal, tax or accounting advice. Many factors unknown to us may affect the applicability of any statement or comment made on this website for investment, financial, legal, tax or accounting advice. ATB Capital Markets is not acting in any fiduciary capacity in regards to the material on this Website. ATB Capital Markets does not guarantee in any way the execution of securities trading information sent to or from ATB Capital Markets electronically. Please contact your advisor directly to place any securities trading orders. ATB Capital Markets will only open accounts for clients resident in jurisdictions it is registered in or where an allowable registration exemption exists.
4. No Offer or Solicitation
Nothing on this Website shall be construed as an offer to sell or a solicitation of an offer to buy any securities, liabilities or assets.
5. Disclaimer
While ATB Capital Markets has taken reasonable measures to ensure the accuracy of the content of this Website we disclaim any representations, warranties, conditions or guarantees, express or implied, with respect to this Website and/or the Content, its availability, or your access to it. We accept no responsibility to update the Website or Content nor operate the Website error free or to be available without interruption. ATB Capital Markets' failure to insist upon or enforce any performance of any provision of these Terms shall not be construed as a waiver of any provision or rights contained in these Terms.
6. ATB Capital Markets and its Employees Interests
ATB Capital Markets, its directors, officers, employees and associated companies may, from time to time, hold the securities mentioned on this site. ATB Capital Markets may, from time to time, provide advisory services for, participate in or manage financings and/or public offerings for companies that are mentioned in this Website.
7. Waiver of Liability
ATB Capital Markets shall not be liable, under any circumstances for any direct, indirect, special, incidental, consequential or punitive damages, or any other damages whatsoever, including, without limitation, lost revenues, lost profits or loss of prospective economic advantage. In no event shall ATB Capital Markets' total liability for any and all damages and causes of action exceed the amount paid by you, if any, for the use of this website. The foregoing provisions shall apply regardless of the cause of action, whether arising in tort (including but not limited to negligence), contract or any other legal theory.
8. Third Party Links
ATB Capital Markets is not responsible for and makes no representations, warranties, or conditions concerning the contents of the any linked website or any link contained in a linked website. All other websites that are linked to this Website have been independently developed by other third parties and are provided to you for your convenience. It is your responsibility to verify any information contained within any linked websites before relying on it and may be subject to terms and conditions contained in those websites.
9. Governing Laws
These Terms shall be governed by the laws of the province of Alberta and you consent to be bound by the laws of Alberta.
10. Updates
This policy was last updated on July 30, 2019.
Best Execution Policy
ATB Capital Markets' Best Execution Policy can be found here.
Business Continuity Plan
The Firm has developed a Business Continuity Plan on how ATB Capital Markets Inc.. will respond to events that significantly disrupt its business. The Plan can be accessed here.
Canadian Investor Protection Fund and Investment Industry Regulatory Organization of Canada
ATB Capital Markets Inc. is a Member of the Canadian Investor Protection Fund. ATB Capital Markets Inc. is a Member of the Investment Industry Regulatory Organization of Canada.
Client Reports Disclaimer
This report is not an official statement. Your ATB Capital Markets monthly statement is your official book of record. We request that clients examine their monthly and year-end statements carefully, and promptly notify your ATB Capital Markets representative of any discrepancies.
Complaints Policy
ATB Capital Markets Inc. regards the handling of any client complaint as an important aspect of providing client service and we have written policies and procedures to ensure that any complaint is appropriately dealt with in a prompt fashion.
General Research Disclaimer
This Research Report is provided to you for informational purposes only, subject to the General Research Disclaimer.
Investment Banking Newsletter Disclaimer
This document has not been prepared or approved by ATB Capital Markets' Research Department and is provided for informational purposes only. The opinions expressed in this document were prepared by ATB Capital Markets' Investment Banking Department. This perspective may not be consistent with ATB Capital Markets' fundamental research recommendation. Nothing contained in this report is, or should be, relied upon as a promise or representation as to future performance. The information contained in this document is drawn from sources believed to be reliable, and the information is believed to be accurate as of the date of publishing. However, the accuracy and completeness of this information is not guaranteed. Neither the authors nor ATB Capital Markets assume any liability.
This report is not intended to provide personal investment advice. Investors should seek advice regarding the suitability of any investments or strategies discussed in this report. Opinions, estimates and projections are subject to change without notice. This document is intended for distribution in jurisdictions where ATB Capital Markets is registered or holds an exemption from registration and is only intended for institutional clients. This report is not, and is not to be construed as (i) an offer to sell or solicitation of an offer to buy securities or (ii) an offer to transact business in any jurisdiction or (iii) investment advice to any party. Products and services described herein are only available where they can be lawfully provided.
ATB Capital Markets may have acted as a financial advisor, underwriter, or market maker for certain of the companies mentioned in this note. ATB Capital Markets may also hold a position in the issuer(s) mentioned in this report.
This report may not be reproduced in whole or in part or further distributed or published or referenced in any manner without the express permission of ATB Capital Markets.
Leveraged ETFs Disclaimer
Double and Inverse ETFs are very different from most other exchange-traded funds. Returns over periods longer than one day will likely differ in amount and possibly direction from the performance of their underlying index for the same period. This effect becomes more pronounced as the volatility of the underlying index increases. Investors should monitor their investment in a Double or Inverse ETF daily.
New Issue Disclaimer
A preliminary prospectus relating to these securities has been filed with securities commissions or similar authorities in certain provinces of Canada but has not yet become final for the purpose of a distribution to the public. This advertisement shall not constitute an offer to sell or the solicitation of an offer to buy, nor shall there be any sale or any acceptance of an offer to buy these securities in any province of Canada prior to the time a receipt for the final prospectus or other authorization is obtained from the securities commission or similar authority in such province.
Privacy Policy
ATB Capital Markets’ Privacy Policy can be found here.
Related and Connected Issuers
ATB Capital Markets’ Statement of Related and Connected Issuers can be found here.
Sales Newsletters and Securities Disclaimer
This document has not been prepared or approved by ATB Capital Markets' Research Department and is provided for informational purposes only. The opinions expressed in this document were prepared by ATB Capital Markets' Sales and Trading Desk. This perspective may not be consistent with ATB Capital Markets' fundamental research recommendation. Nothing contained in this report is, or should be, relied upon as a promise or representation as to future performance. The information contained in this document is drawn from sources believed to be reliable, and the information is believed to be accurate as of the date of publishing. However, the accuracy and completeness of this information is not guaranteed. Neither the authors nor ATB Capital Markets assume any liability.
This report is not intended to provide personal investment advice. Investors should seek advice regarding the suitability of any investments or strategies discussed in this report. Opinions, estimates and projections are subject to change without notice. This document is intended for distribution in jurisdictions where ATB Capital Markets is registered or holds an exemption from registration and is only intended for institutional clients. This report is not, and is not to be construed as (i) an offer to sell or solicitation of an offer to buy securities or (ii) an offer to transact business in any jurisdiction or (iii) investment advice to any party. Products and services described herein are only available where they can be lawfully provided.
ATB Capital Markets may have acted as a financial advisor, underwriter, or market maker for certain of the companies mentioned in this note. ATB Capital Markets may also hold a position in the issuer(s) mentioned in this report.
This report may not be reproduced in whole or in part or further distributed or published or referenced in any manner without the express permission of ATB Capital Markets.
Tax Advice Disclaimer
The comments included in the publication are not intended to be a definitive analysis of tax law. The comments contained herein are general in nature and professional advice regarding an individual's particular tax position should be obtained in respect of any person's specific circumstances.
Trade Matching Statement
ATB Capital Markets’ Trade Matching Statement can be found here.
Trading Policy
ATB Capital Markets’ Trading Policy can be found here.
Unclaimed Property Statement
ATB Capital Markets’ Unclaimed Property Policy can be found here.
