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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
Queensbury Strategies is a member of the Mutual Fund Dealers Association of Canada and registered as a Mutual Fund Dealer in Ontario, Quebec, Alberta and British Columbia and exempt market dealer in Ontario to sell only mutual funds and prospectus exempt products.
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www.mfda.ca
Queensbury Securities is a member of the Investment Industry Regulatory Organization of Canada, the Canadian Investor Protection Fund and is registered in Ontario, Alberta, Manitoba, New Brunswick, Nova Scotia, Newfoundland and Labrador, Saskatchewan, British Columbia and Prince Edward Island to sell stocks, bonds and other listed securities.

IIROC Advisor Report – Investors may research the background, qualifications and disciplinary information on advisors at IIROC-regulated firms by referencing to the IIROC Advisor Report found here.
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www.iiroc.ca
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