ATB Wealth new client package

Welcome to ATB Wealth®. ATB Securities Inc. (ATBSI)1 is an investment dealer dedicated to ATB Wealth clients.  Below you’ll find regulatory information to help you understand and manage your new investments.

If you have any questions about these materials, please contact your advisor or call 1-855-541-4387.

Guides and publications

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, ATBSI.


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 ATBSI information—24 hours a day, seven days a week.

Brochures (PDFs)

ATBSI Relationship Disclosure brochure

By reading this guide, you’ll discover tips on how to stay in the loop on important details about your investments—helping us maintain the best relationship possible.


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.


Canadian Investment Regulatory Organization (CIRO) Investor Protection brochure

This brochure describes the arbitration process and claim limits offered by the Canadian Investment Regulatory Organization (CIRO), previously known as the Investment Industry Regulatory Organization of Canada (IIROC).


Canadian Investor Protection Fund (CIPF) Investor Protection brochure

This piece details the coverage limits and recovery process in the event of the bankruptcy of a CIPF member.


ATBSI Pricing brochure

Fees associated with your account are outlined in this brochure.


ATB Financial Privacy brochure

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


CIRO Strip Bond disclosure

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


ATBSI Client Complaint Handling Process

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


Client Account Agreement

This document goes over all the terms and conditions that apply to your ATB Wealth account, including how fees are calculated and how your personal information is used.


ATBSI 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.

Regulatory information

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.


1ATB Securities Inc. 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.

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