Brockhouse Cooper

Brockhouse Cooper is committed to protecting your privacy, and maintaining a general policy of openness about how we collect, use and disclose your Personal Information (as defined below).

The purpose of this Privacy Statement is to inform you about our practices relating to the collection, use, disclosure and protection of Personal Information that may be provided through access to, or use of, our web site, and our account opening documents.

This Privacy Statement also explains how you can contact us if you have a question about, want to make a change to, or want to delete any Personal Information that we may be maintaining about you. We strongly recommend that you take the time to read this Privacy Statement and refer to it from time to time.

What personal information we collect

For the purpose of this Privacy Statement, “Personal Information” is defined as information about an identifiable individual, or information that allows an individual to be identified and which is not business related. As a general rule, we do not collect Personal Information.

Should you provide us with your Personal Information, we will inform you as to why we are collecting it, and how it will be used.

Communication monitoring

We record and do real time monitoring of all telephone conversations that you may have with our registered representatives or research analysts. Records of such conversations remain our sole property and may be used as evidence of the content of such conversations and may be produced at the request of any regulator. Further, all communications by mail, electronic communications system (including, without limitation, email), facsimile or otherwise may be monitored and recorded and archived.

When we disclose your personal information

Should we collect your Personal Information, we will not sell, license, trade or rent your Personal Information to or with any third party.

If you provide us with Personal Information, we may provide it to third parties engaged to assist us in providing services to you. These service providers are prohibited from using your Personal Information for any purpose other than to provide this assistance to us.

We reserve the right to disclose Personal Information to a third party (including, for example, any regulatory or governmental body) if a law, regulation, search warrant, subpoena or court order legally requires or authorizes us to do so, or a request from a regulatory or self-regulatory body.

We reserve the right to disclose and/or transfer Personal Information to a third party in the event of a proposed or actual purchase, sale (including a liquidation, realization, foreclosure or repossession), lease, merger, amalgamation or any other type of acquisition, disposal, transfer, conveyance or financing of all or any portion of Brockhouse Cooper or of any of the business or assets or shares of Brockhouse Cooper or a division thereof in order for you to continue to receive the same products and services from the third-party acquirer.

Security

We shall protect your Personal Information by security measures appropriate to the information we collect.

Access to your file

At any time, you may also access your file and the personal information held by us, review it, modify it, correct it or request that we delete it by sending a written request to the attention of the Chief Compliance Officer at 1250 Rene-Levesque, West, suite 4025, Montreal, Quebec H3B 4W8.