How to buy ATB Funds

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1. ATB Wealth® (a registered trade name) consists of a range of financial services provided by ATB Financial and certain of its subsidiaries. ATB Investment Management Inc. and ATB Securities Inc. are individually licensed users of ATB Wealth. ATB Securities Inc. is a member of the Canadian Investor Protection Fund and the Canadian Investment Regulatory Organization. ATB Prosper is a product of ATB Securities Inc.

   The information contained herein has been compiled or arrived at from sources believed to be reliable, but no representation or warranty, expressed or implied, is made as to their accuracy or completeness, and ATB Wealth (this includes all the above legal entities) does not accept any liability or responsibility whatsoever for any loss arising from any use of this document or its contents. This information is subject to change and ATB Wealth does not undertake to provide updated information should a change occur. This document may not be reproduced in whole or in part, or referred to in any manner whatsoever, nor may the information, opinions and conclusions contained in it be referred to without the prior consent of the appropriate legal entity using ATB Wealth. This document is being provided for information purposes only and is not intended to replace or serve as a substitute for professional advice, nor as an offer to sell or a solicitation of an offer to buy any investment. Professional legal and tax advice should always be obtained when dealing with legal and taxation issues as each individual’s situation is different.

2. Compass Portfolios is a trademark of ATB Financial.

3. ATB Investment Management Inc. (ATBIM) is registered as a Portfolio Manager across various Canadian securities commissions with the Alberta Securities Commission (ASC) being its principal regulator. ATBIM is also registered as an Investment Fund Manager who manages the ATB Funds. ATBIM is a wholly owned subsidiary of ATB Financial and is a licensed user of the registered trademark ATB Wealth.

4. ATB Funds include Compass Portfolios, ATB Spire Portfolios and ATBIS Pools.

   Unit values of mutual funds will fluctuate and past performance may not be repeated. 

   Mutual Funds are not insured by the Canada Deposit Insurance Corporation, nor guaranteed by ATBIM, ATBSI, ATB Financial, the province of Alberta, any other government or any government agency. Commissions, trailing commissions, management fees, and expenses may all be associated with mutual fund investments. Read the fund offering documents provided before investing. The ATB Funds include investments in other mutual funds. Information on these mutual funds, including the prospectus, is available on the internet at www.sedarplus.ca

5.  

   *Qtrade Direct Investing®

   Online brokerage services are offered through Qtrade Direct Investing, a division of Aviso Financial Inc. Qtrade and Qtrade Direct Investing are trademarks of Aviso Wealth Inc. and/or its affiliates.

   Qtrade Direct Investing (“Qtrade”) offers do it yourself investors an order execution only service account. You were referred to Qtrade by ATB Financial (“ATB”) or one of its subsidiaries, ATB Investment Management Inc. (“ATBIM”) or ATB Securities Inc (“ATBSI” together with ATB and ATBIM, the “ATB Entities”).

   Qtrade and the ATB Entities have a referral agreement in place relating to the referral of clients from the ATB Entities to Qtrade for order execution only investment services.

   As their online brokerage services provider, Qtrade pays a referral fee to ATB for introducing clients to Qtrade’s services. This referral fee has two parts: (i) a percentage of net sales (up to 0.35%); and (ii) a payment of up to $65 for each new funded client referred. Both amounts are determined by the growth of the referred funded client base compared to the previous year. If certain growth targets are reached, an additional bonus payment of up to $30,000 may also be paid. This referral fee does not result in any additional cost to you as a client.

   This referral fee may create a conflict of interest as it incentivizes the ATB Entities and their representatives to refer you to Qtrade.

   The ATB Entities and their representatives are not permitted to trade or advise in respect of securities if they are not duly licensed or registered under applicable securities legislation. ATBIM is registered as a portfolio manager and investment fund manager and ATBSI is registered as an investment dealer, each in various provinces and territories of Canada. All activities requiring registration resulting from the referral will be provided by Qtrade, which is a division of Aviso Financial Inc., a registered investment dealer in all provinces and territories in Canada.