Canada’s federal privacy law, the Personal Information Protection and Electronic Documents Act (“PIPEDA”), effective January 1, 2004, requires that Kingwest and Company (“Kingwest”) obtain from all existing, new and prospective clients knowledgeable consent for the collection, use and/or disclosure of his or her personal information.

At Kingwest we have always maintained and used your personal information in the strictest of confidence. To this end Kingwest has policies and procedures that must be followed by all staff. Your personal information is collected, used and disclosed only where it is needed to service your account. This includes:

  • Collecting your name, address, telephone number, social insurance number, date of birth and beneficiary information;
  • Using information for preparing financial plans and for placing security trades;
  • Sharing information with NBIN in order to execute trades on your behalf;
  • Sharing information with other companies in order to service your needs such as account transfers, registered transfers and verifying your personal identity.

As well, for regulatory purposes, self-regulatory organizations (“SROs”), including the Investment Dealers Association of Canada to which Kingwest belongs, require access to personal information of current and former clients, employees, agents, directors, officers, partners and others that has been collected or used by Kingwest. SROs collect, use or disclose such personal information obtains from Kingwest for regulatory purposes, including:

  • Surveillance of trading-related activity
  • Sales, financial compliance, trade desk review and other regulatory audits
  • Investigation of potential regulatory and statutory violations
  • Regulatory databases
  • Enforcement or disciplinary proceedings
  • Reporting to securities regulators; and
  • Information-sharing with securities regulatory authorities, regulated marketplaces, other self-regulatory organizations and law enforcement agencies in any jurisdiction in connection with any of the foregoing.

If you have any questions regarding how Kingwest collects, uses and discloses your personal information, or if you do not wish to receive information about our services or products, please contact our Privacy Policy Compliance Administrator, Tina Lin at or at (416) 927-7740 or 1 (800) 850-6393.