ATBIM NEW CLIENT PACKAGE
Welcome to ATB Investment Management Inc. Below you’ll find regulatory information to help you understand and manage your new investments.
If you have any questions about the information below, please contact your ATB Investment Management Inc. (ATBIM) investment counselor, institutional portfolio manager, or give us a call at 1-855-541-4387.
ATBIM disclosure 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
All ATBIM investment counselors are either charterholders of the Chartered Financial Analysts (CFA) designation or the Chartered Investment Manager (CIM) designation. That means they are required to adhere to strict ethical standards as described in the CFA Institute Statement of Investor Rights and the CFA Code of Ethics and Standards of Professional Conduct.
CFA Institute Statement of Investor Rights
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.
Custodial disclosures documents - ATB Securities Inc. (ATBSI)
ATBSI* is a qualified Canadian custodian that holds the asset(s) of your investment accounts and facilitates trading, settlement and other back office services. In this capacity, ATBSI is required to provide you with required information and disclosures as listed below. Additional disclosures can be found at atb.com/wealth.
Key account information
This document goes over all the terms and conditions that apply to your custodial account at ATBSI, including the collection and use of your personal information as well as the safeguarding of your assets.
ATBSI Declaration of Trust (for PIC clients only)
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
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, ATBSI.
How to register for Investor Connect (for PIC clients only)
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.
CIPF Investor Protection brochure
This brochure details the coverage limits and recovery process in the event of the bankruptcy of a Canadian Investor Protection Fund (CIPF) member. ATBSI, which acts as the custodian to ATBIM client accounts in holding client assets, is a member of CIPF.
ATB Financial Privacy brochure
ATB Financial’s Privacy brochure describes the collection and use of your personal information.
ATBSI’s Client Complaint Handling Process
This booklet summarizes the ATBSI policies for handling a client complaint, including responsibilities of each party, the investigation process and timelines and is being provided to you as required by your custodian.
About ATBIM
ATB Investment Management Inc. (ATBIM) is a portfolio manager and investment fund manager regulated by the Alberta Securities Commission. ATB Investment Management Inc. is a subsidiary of ATB Financial and operates under the trade name ATB Wealth.
About ATBSI*
ATB Securities Inc. (ATBSI) is a member of the Canadian Investment Regulatory Organization and the Canadian Investor Protection Fund. ATB Securities Inc. is a subsidiary of ATB Financial and operates under the trade name ATB Wealth.