ATBIM new client package

Our promise to you

We hold the outrageous belief that banking and investing can change people’s lives for the better by making their time richer, their aspirations closer and their happiness deeper.

How will we do this?

By doing things other wealth firms don’t do.

To be worthy of your full trust, we promise to:

• Listen to your goals and aspirations and tailor our advice to you.
• Have your best interests at heart and share any conflicts of interest.
• Be honest, straightforward and transparent.
• Communicate in smart, simple and helpful ways that are relevant to you.
• Ensure fees are fair and clearly explained.
• Take accountability when something goes wrong.
• Leverage our expertise and diligence to benefit you.
• Guard and protect your confidential information.
• Call out unethical behaviour.
• Lead our industry with the courage to be true to who we are.

This is our unwavering promise to you.

ATBIM portfolio manager documents

Key account information

ATBIM relationship disclosure brochure

ATBIM values the trust you have placed in us and we want to make sure that you have access to the most current information about the products and services we offer, as well as provide you with important disclosures that you should be aware of. In this brochure you will also find additional details about why we collect certain information, risks that you should consider and the role of the custodian in your account operation. It contains a lot of important information, but if there is anything else that you would like to know, please contact your investment counselor or portfolio manager.

Conflicts of Interest Disclosure Statement

It is important for you to be informed about how we identify and respond to conflicts of interest, as our goal is to provide you with trusted advice and personalized financial solutions that help you achieve your financial goals. Our Conflicts of Interest Disclosure Statement is intended to assist you in understanding and assessing material conflicts of interest, which may exist in our relationship with you and how we address them in your best interest.

Helpful resources

CFA Institute Statement of Investor Rights

All ATBIM investment counselors are Charter Holders of the Chartered Financial Analysts (CFA) designation. That means they are required to adhere to strict ethical standards described in the CFA Institute Statement of Investor Rights and the CFA Code of Ethics and Standards of Professional Conduct. 

The Statement of Investor Rights was developed by the CFA Institute to educate buyers of financial service products about conduct they are entitled to expect from financial professionals. These rights reflect the fundamental ethical principles that are critical to achieving confidence and trust in any professional relationship. The Statement of Investor Rights is a tool to help you get the information you need and the service you expect and deserve.

CFA Code of Ethics and Standards of Professional Conduct 

The CFA Code of Ethics and Standards of Professional Conduct outline the obligations and duties owed to clients and the industry in order to meet the highest ethical and professional excellence. All CFA charterholders agree to abide by the Code and Standards.  Fulfilling these obligations and duties means putting the interests of the client first and foremost and maintaining client trust.

ATBSI² custodial disclosures documents

Key account information 

Client account agreement

This document goes over all the terms and conditions that apply to your custodial account at ATB Securities Inc., including the collection and use of  your personal information as well as the safeguarding of your assets.

ATB Securities Inc. Declaration of Trust

This document lays out all the terms and conditions required to operate any registered products with ATB Wealth. It covers:

• The Individual Education Account Savings Plan
• The Family Education Savings Plan
• The Self-Directed Retirement Savings Plan
• The Self-Directed Retirement Income Fund
• The Self-Directed Disability Savings Plan
• The Tax Free Savings Account

Helpful resources

Statement guide

View this guide for details on investment reporting and statements, confirmations, online account access, and tax reporting that will be provided to you by your custodian, ATB Securities Inc.

How to register for Investor Connect

ATB Investor Connect allows you to view your investment balances and statements online - anytime, anywhere. Get access to account information, including summaries, holdings and transactions, monthly and quarterly statements and tax slips and reduce the amount of mail coming to your home by opting-in for digital statements.

Learn how to get secure online access to your account information—24 hours a day, seven days a week.

Making a Complaint: A Guide for Investors (Part 1 of 2)

Learn how to make a complaint if you believe your investment firm or advisor may have acted improperly or unethically.

How Can I Get My Money Back? A Guide for Investors (Part 2 of 2)

Learn your options if you’ve suffered a financial loss because your investment advisor or firm acted improperly.

IIROC Investor Protection brochure

This brochure describes the arbitration process and claim limits offered by the Investment Industry Regulatory Organization of Canada (IIROC).

CIPF Investor Protection brochure

This piece details the coverage limits and recovery process in the event of the bankruptcy of a Canadian Investor Protection Fund (CIPF) member.

ATB Financial Privacy brochure

ATB Financial’s Privacy brochure describes the collection and use of your personal information.

IIROC Strip Bond disclosure

This document describes certain attributes of strip bonds and strip bond packages.

ATB Securities Inc.’s Client Complaint Handling Process

This booklet summarizes our policies for handling a client complaint, including responsibilities of each party, the investigation process and timelines.