Client Agreement and Notices for Queensbury Securities Inc.

For All Accounts

• Client Agreement
• Relationship Disclosure
• Conflicts of Interest Statement
• Electronic Funds Transfers – Terms & Conditions
• Administration Fee Schedule
• Strip Bonds and Strip Bond Packages Information Statement
• Introducing/Carrying Broker Disclosure
• Shared Premises Disclosures
• Advisor as Agent Disclosure
• Leverage Disclosure
• Escheatment of Physical Certificates

For Managed Accounts

• Allocation of Investment Opportunities for Managed Accounts

Keeping You Informed (Regulatory Disclosure)

• Privacy and Protection of Personal Information Policy
• Communication with Beneficial Owners of Securities
• Institutional Trade Matching Statement

Handling Complaints

• Complaint Handling Policy
• Making a Complaint – A Guide for Investors
• IIROC How Do I Get Money Back
• Ombudsman for Banking Services and Investments – Investor Brochure