Related and Connected Issuers Sample Clauses

Related and Connected Issuers. Canadian securities laws require securities registered firms such as Credential Securities, when they trade in or advise with respect to securities of certain issuers to which they, or certain other parties related to them, are related or connected, to do so only in accordance with particular disclosure and other rules. Further, these rules require dealers, prior to trading with or advising their clients, to inform clients of the relevant relationships and connections with the issuer of the securities. Clients should refer to the applicable provisions of the relevant securities laws for the particulars of these rules or consult with a legal advisor. An issuer of securities is "related" to Credential if, through the ownership of, or direction or control over voting securities, Credential exercises a controlling influence over that issuer, or that issuer exercises a controlling influence over Credential, or the same third party exercises a controlling influence over both Credential and the issuer. An issuer is "connected" to Credential if due to indebtedness or other relationships a prospective purchaser of securities of the connected issuer might question Credential's independence from the issuer. Credential Qtrade Securities Inc. is a wholly owned subsidiary of Aviso. Aviso is a wholly owned subsidiary of Aviso Wealth LP, which in turn is owned 50% by Xxxxxxxxxx Financial Holding Inc. (Xxxxxxxxxx) and 50% by a limited partnership owned by the five provincial Credit Union Centrals and The CUMIS Group Limited. Credential Asset Management Inc. is a mutual fund dealer and is also a wholly owned subsidiary of Avsio. Northwest & Ethical Investments L.P. is responsible for the management of mutual funds which may from time to time make up the families of NEI, Northwest and Ethical Funds which are offered in Canada. Northwest & Ethical Investments L.P. is also a wholly owned subsidiary of Aviso, and is therefore a related issuer to Credential Securities. OceanRock Investments Inc. (ORI) is responsible for the management of mutual funds which may from time to time make up the family of OceanRock Funds and Meritas Funds which are offered in Canada. ORI is also a wholly owned subsidiary of Aviso, and is therefore a related issuer to Credential Securities. Desjardins is a wholly owned subsidiary of Fédération des caisses Xxxxxxxxxx du Québec, a federation of financial services cooperatives owned by the Xxxxxxxxxx caisses. Xxxxxxxxxx Investments Inc. is responsible for...
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Related and Connected Issuers. As part of our corporate structure, we have relationships with other companies who are considered related or connected issuers. These companies are considered related or connected to us if (i) the company is an influential securityholder of CAM, (ii) CAM is an influential securityholder of the company, (iii) CAM and the company are both a related issuer of the same third-party company,
Sample 1
Related and Connected Issuers. “Related” may be said to involve positions permitting, through ownership or otherwise, a controlling influence, and would include all companies under a common controlling influence. “Connected” may be said to involve a state of indebtedness to, or other relationship with, the registrant or those “related” to the registrant that, in connection with a distribution of securities, would be material to a purchaser of the securities. Currently, Nest Wealth has no related or connected issuers. In the event that relationships with “related” or “connected” issuers are established in the future, Nest Wealth will maintain a list of such issuers and will make such list available to its clients by posting the list on Nest Wealth’s website and keeping it updated. If a specific conflict with a “related” or “connected” issuer arises, Nest Wealth will provide affected clients with disclosure about the specific conflict with that issuer.
Sample 1
Related and Connected Issuers. CAM is a wholly owned subsidiary of Aviso. Aviso is a wholly owned subsidiary of Aviso Wealth LP, which in turn is owned 50% by Xxxxxxxxxx Financial Holding Inc. (“Desjardins”) and 50% by a limited partnership owned by the five provincial Credit Union Centrals and The CUMIS Group Limited. Due to Desjardins’ ownership interest in Aviso and CAM, and because NEI Investments is a wholly owned subsidiary of Aviso, NEI Investments, Desjardins and Fiera Capital Corporation are related or connected issuers to us. Our advisors (including your Advisor) may have multiple employers, including CAM, a credit union or other financial institution or an affiliate of them, and may also be licensed to sell insurance through an insurance distributor. Different products such as securities, insurance and banking products may be suitable for different clients and may result in different compensation to CAM or the advisor. Advisors may be paid a salary, bonus, commission or combination thereof.
Sample 1
Related and Connected Issuers. Credential Securities is a wholly owned subsidiary of Aviso. Aviso is a wholly owned subsidiary of Aviso Wealth LP, which in turn is owned 50% by Xxxxxxxxxx Financial Holding Inc. (“Desjardins”) and 50% by a limited partnership owned by the five provincial Credit Union Centrals and The CUMIS Group Limited. Due to Desjardins’ ownership interest in Aviso and Credential Securities, and because Northwest & Ethical Investments L.P. (“NEI Investments”) is a wholly owned subsidiary of Aviso, NEI Investments, Desjardins and Fiera Capital Corporation are related or connected issuers to us. If you have a managed account, you must give express permission for your portfolio to hold any investments of issuers that are related or connected to Credential Securities. Our advisors may have multiple employers, including Credential Securities, a credit union or other financial institution or an affiliate of them, and may also be licensed to sell insurance through an insurance distributor. Different products such as securities, insurance and banking products may be suitable for different clients and may result in different compensation to Credential Securities or the advisor. Advisors may be paid a salary, bonus, commission or combination thereof.
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Related and Connected Issuers. CAM is a wholly owned subsidiary of Aviso. Aviso is a wholly owned subsidiary of Aviso Wealth LP, which in turn is owned 50% by Xxxxxxxxxx Financial Holding Inc. (“Desjardins”) and 50% by a limited partnership owned by the five provincial Credit Union Centrals and The CUMIS Group Limited. Due to Desjardins’ ownership interest in Aviso and CAM, and because NEI Investments is a wholly owned subsidiary of Aviso, NEI Investments, Desjardins and Fiera Capital Corporation are related or connected issuers to us.
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Related and Connected Issuers. As part of its business activities, Desjardins Securities may buy or sell securities of related and connected issuers on behalf of its clients, exercise its discretion to buy or sell such securities pursuant to discretionary management agreements, or make recommendations in respect of such securities. Desjardins Securities may also, as part of its business activities, be called upon to act as an underwriter or a member of a selling group for the sale of the securities of such issuers. Its other divisions may at the same time recommend such securities. We usually manage these conflicts of interest as follows: • Where we advise you on the purchase or sale of securities of a related and/or connected issuer, we will notify you of our relationship with the issuer when giving you advice. • When we exercise discretionary authority to purchase or sell securities of a related or connected issuer on your account, disclosure will be made before we exercise our discretion, either through the delivery of this Statement of Principles or its posting on our website, disclosure in the account agreement governing your account or otherwise. • When we buy or sell securities of a related or connected issuer on your account, we will disclose our relationship to the issuer in the trade confirmation and account statement. • When we participate as an underwriter or a member of a selling group of securities of a related or connected issuer, we will disclose our relationship to the issuer in the prospectus or other document being used to qualify these securities. • For advisory accounts, we ensure that the suitability of the securities held in your account is reviewed when we make a recommendation. For a description of a related and/or connected issuer and/or to view a current list of our related and connected issuers, see section Related and connected issuers disclosure below.
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Related and Connected Issuers. As part of our corporate structure, we have relationships with other companies who are considered related or connected issuers. These companies are considered related or connected to us if (i) the company is an influential securityholder of Credential Securities, (ii) Credential Securities is an influential securityholder of the company, (iii) Credential Securities and the company are both a related issuer of the same third-party company, (iv) the company is a related issuer to us, or (v) a director, officer or partner of the company is employed by us or by a related issuer to us. Simply put, Credential Securities and a related or connected issuer have a vested interest in one another and it is our duty to make you aware of that relationship and address any conflicts the relationship may present. Credential Securities is a wholly owned subsidiary of Aviso. Aviso is a wholly owned subsidiary of Aviso Wealth LP, which in turn is owned 50% by Xxxxxxxxxx Financial Holding Inc. (“Desjardins”) and 50% by a limited partnership owned by the five provincial Credit Union Centrals and The CUMIS Group Limited. Due to Desjardins’ ownership interest in Aviso and Credential Securities, and because Northwest & Ethical Investments L.P. (“NEI Investments”) is a wholly owned subsidiary of Aviso, NEI Investments, Desjardins and Fiera Capital Corporation are related or connected issuers to us.
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Related and Connected Issuers. “Related” may be said to involve positions permitting, through ownership or otherwise, a controlling influence, and would include all companies under a common controlling influence. “Connected” may be said to involve a state of indebtedness to, or other relationship with, the registrant or those “related” to the registrant that, in connection with a distribution of securities, would be material to a purchaser of the securities. Currently, Nest Wealth is a related and connected issuer with the Orchard CRM 1 and Orchard CRM2 Funds. In the event that other relationships with “related” or “connected” issuers are established in the future, Nest Wealth will maintain a list of such issuers and will make such list available to its clients by posting the list on Nest Wealth’s website and keeping it updated. If a specific conflict with a “related” or “connected” issuer arises, Nest Wealth will provide affected clients with disclosure about the specific conflict with that issuer.
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