ETF Capital Management (ETFCM) is a registered trade name of Quintessence Wealth, a Portfolio Manager, Investment Fund Manager and Exempt Market Dealer registered with the Canadian Securities Administrators. ETF Capital Management has a fiduciary responsibility to act in the best interest of its clients. All Portfolio Managers are bound by fiduciary standards with oversight from the Canadian Securities Administrators (CSA). Our team includes a dedicated Chief Compliance Officer who oversees the firm’s compliance program in accordance with the CSA and its primary regulator, the Ontario Securities Commission.
Collection and use of personal information
ETFCM is required under securities legislation and anti-money laundering legislation to collect information to verify the identity and reputation of clients. When submitting information on our website, as appropriate, you may be asked to enter your name, email address, mailing address, phone number, financial Information or other details to help you with your experience. ETFCM is also required under securities legislation to ensure a proposed investment is suitable for you. To assess the suitability of proposed investments, ETFCM will obtain information relating to your investment objectives, risk tolerance, investment knowledge, financial situation and circumstances. In providing services to clients, ETFCM may be required to use and share personal information with its employees, third party service providers and other financial institutions. When you open an account with us, you authorize us to collect this information during the course of our relationship. Personal information collected by ETFCM will be held at the head office of the Firm: 5160 Yonge Street, Suite 1860, Toronto, Ontario, M2N 6L9.
How do we protect your information?
Sharing personal information
All ETFCM staff are trained to keep client personal information private and confidential. Each staff member is required to sign our Compliance Manual Code of Conduct, which contractually obligates them to respect and protect clients’ personal information. ETFCM does not use or disclose personal information for purposes other than those for which it was collected except with the consent of the client or as required by law. Personal information will be retained only as long as necessary for these purposes or required by law.
Updating and accessing your personal information
With some limited exceptions, you have rights to access and update personal information held by ETFCM about you. You may inquire about any personal information ETFCM may have about you, by sending an email to firstname.lastname@example.org. You must include your full name, address and telephone number and a copy of an identity document (such as an ID card or passport). This will allow ETFCM to verify your identity and whether the Firm has any personal information regarding you. ETFCM will contact you if the Firm needs additional information to make that determination.
You may request ETFCM to correct, cancel, and stop processing personal information that ETFCM holds about you. If ETFCM agrees the personal information is incorrect, or the processing should be stopped, ETFCM will correct the personal information or stop the processing. If ETFCM does not agree the personal information is incorrect; ETFCM will inform you it does not agree. The Firm will record that you consider personal information to be incorrect in your file.
Third party service providers
ETFCM may use service providers to perform specialized services on our behalf, including, but not limited to, preparing income tax slips, cloud services, processing transactions or other data processing. We do not sell, trade, or otherwise transfer to outside parties your Personal Information unless we provide users with advance notice. This does not include website hosting partners and other parties who assist us in operating our website, conducting our business, or serving our users, so long as those parties agree to keep this information confidential.
Third-party links on our website
Occasionally, at our discretion, we may include or offer third-party products or services on our website. These third-party sites have separate and independent privacy policies. We therefore have no responsibility or liability for the content and activities of these linked sites. Nonetheless, we seek to protect the integrity of our site and welcome any feedback about these sites.
5160 Yonge Street, Suite 1860
Toronto, Ontario M2N 6L9
Last Edited on 2019-01-08