Privacy Policy

Roadmap Capital Inc. (“Roadmap”) recognizes and respects the privacy concerns of its clients.  This policy sets out the kinds of information we collect and the circumstances under which that information may be disclosed to third parties. We do not disclose any non-public personal information about our clients or former clients to anyone, except as permitted by law.

Purpose of Collecting Personal Information
In order to service your account and effect your transactions, we may provide your personal information to our affiliates and to financial service providers that assist us in servicing your account and have a need for such information, such as a broker or firm administrator.

Personal information is also collected in order to properly discharge our regulatory responsibilities under securities legislation, the federal anti-money laundering and suppression of terrorism legislation and various tax laws.

We require third party service providers to protect the confidentiality of your information and to use the information only for the purposes for which we disclose the information to them. We do not otherwise provide information about you to outside firms, organizations or individuals except to our attorneys, accountants and auditors and as permitted by law.

Limiting Collection
Roadmap collects personal information only to the extent necessary for the purpose(s) it was collected, unless the client consents to use or disclosure for another purpose, or as required by law.  Client information will be kept for a period of seven years from the final closing of the client file or the date the last service was provided to the client.

We may collect non-public personal information about you (such as your name, address, social security number, account balance, redemption or withdrawal history, assets and income) from a number of sources including:

  • Information received from you on account applications, agreements, questionnaires or other forms;
  • Information about your transactions with us, our affiliates, or others; and
  • Information received from you in written, telephonic or electronic communications with us, our affiliates or others.

Safeguarding Personal Information
We restrict access to non-public personal information about you to our employees who need to know that information to provide products or services to you.  We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your personal information.

In the event that you invest with us through a financial intermediary, including, but not limited to, a broker-dealer, bank or trust company, the privacy policy of your financial intermediary will govern how your non-public personal information will be shared with non-affiliated third parties by that entity.

Client Consent
Roadmap’s consent form is contained in the “Know your Client Form”.  Consent may also be required when client’s purchase products or services subsequent to account opening.  A client may withdraw consent at any time, subject to legal or contractual restrictions and reasonable notice.

Keeping Information Up-To-Date
Roadmap has the responsibility to ensure that all personal information on file is accurate, complete and up-to-date.  Clients may request, in writing, that their personal information be amended as appropriate.

Access
Upon your written request, Roadmap will provide you with reasonable access to your personal information and a description of its use or disclosure, as required or permitted by law.  You may verify the accuracy and completeness of your information and request that it be amended, if appropriate.