Confidentiality of client information
Equate Asset Management Inc. (Equate) earns your trust by adhering to privacy principles in protecting
your personal information. The term “personal information” refers to information that specifically
identifies you as an individual and is provided to or collected by us. It includes, for example, your name
and address, age and gender, personal information records, identification numbers such as your social
insurance number, and your employment information.

Collection and use of personal information
Equate is required under securities legislation and anti-money laundering legislation to collect
information to verify the identity and reputation of clients. Equate is also required under securities
legislation to make a determination to ensure a proposed investment is suitable for you. To assess the
suitability of proposed investments, Equate will obtain information relating to your investment
objectives, risk tolerance, investment knowledge, financial situation and circumstances. In providing
services to clients, Equate may be required to use and share personal information with its employees,
third party service providers and other financial institutions. When you open an account with us, you
authorize us to collect this information during the course of our relationship. Personal information
collected by Equate will be held at the head office of the Firm located at 1155 North Service Road West, Oakville, ON, L6M 3E3.

Sharing personal information
Equate will not use or disclose personal information for purposes other than those for which it was
collected except with the consent of the client or as required by law. Personal information will be
retained only as long as necessary for these purposes or required by law.

Safeguarding personal information
Client personal information is protected by security safeguards that are appropriate to the sensitivity
level of the information. All employees of Equate are responsible for protecting client privacy,
confidentiality and security. This obligation remains in effect even after an employee leaves the Firm.
Equate has appropriate controls in place over computer systems in compliance with its Privacy Policy.
Equate will ensure that third party service providers requiring the use of personal information have
appropriate security procedures and controls to protect the personal information of Equate’s clients.

Updating and accessing your personal information
With some limited exceptions, you have rights to access and update personal information held by
Equate about you. You may inquire about any personal information Equate may have about you, by
sending an email to [email protected]. You must include your full name, address and
telephone number and a copy of an identity document (such as an ID card or passport). This allow
Equate to verify your identity and whether the Firm has any personal information regarding you.
Equate will contact you if the Firm needs additional information to make that determination.
You may request for Equate to correct, cancel, and stop processing personal information that Equate
holds about you. If Equate agrees the personal information is incorrect, or the processing should be
stopped, Equate will correct the personal information or stop the processing. If Equate does not
agree the personal information is incorrect; Equate will inform you it does not agree. The Firm will
record that you consider personal information to be incorrect in the relevant file.