Legal / Privacy Policy

Registrations

 

RockLinc Investment Partners Inc. (“RockLinc”) is registered with the Ontario Securities Commission as a Portfolio Manager.

 

 

Investor Warning

 

This website (“Site”) does not constitute an offer or solicitation by any person in any jurisdiction in which such offer or solicitation is not authorized or to any person to whom it is unlawful to make such offer or solicitation and may not be relied upon for investment purposes. This Site is not intended to provide specific investment, financial, legal, accounting and/or tax advice. Please consult with your own professional advisor with respect to your particular circumstances.

 

 

Indemnity

 

You agree to indemnify and hold harmless RockLinc and its agents, suppliers and their respective directors, officers and employees from and against any and all actions, proceedings, costs, claims, liabilities, damages and expenses (including reasonable legal fees) arising from or in connection with a breach of these terms and conditions or the use of this Site.

 

 

Disclaimer of liability

 

This Site is provided on an “as is” and “as available” basis, without any representations, warranties or conditions of any kind, whether expressed or implied, and including without limitation implied representations, warranties or conditions of title, non-infringement, merchantability, fitness for a particular purpose, performance, durability, availability, timeliness, accuracy, or completeness, all of which are hereby disclaimed by RockLinc to the fullest extent permitted by law. RockLinc will not under any circumstances be liable to you or any other person in any way for any loss or damages (direct, indirect, special, economic, incidental, consequential, punitive or exemplary, including without limitation loss of revenue, data, anticipated profits or lost business) in respect of use of, or inability to use, or any reliance on, this Site, any of its content or links (including without limitation any inaccuracies or viruses), or any Web browser or other equipment.

 

 

Copyright

 

The contents of this Site are protected by applicable copyright laws. Unauthorized use or exploitation of such content is strictly prohibited, including without limitation unauthorized downloading, retransmission, storage in any medium, copying, redistribution, reproduction, or republication of the Site, or any part thereof, for any purpose.

 

 

Linking to Site

 

Links to this Site without the express written permission of RockLinc are strictly prohibited. To request permission, please contact RockLinc at 905.631.5462. The framing, mirroring, scraping or data-mining of this Site or any of its content in any form and by any method is strictly prohibited.

 

 

Third-party references and links

 

References in this Site to third parties’ goods or services are not endorsements or approval of such goods or services. Links to other sites are not endorsements or approvals of such sites, the third parties named therein, or their products and services, nor is any liability assumed for incompatibility, non-suitability, viral infection or other destructive / disruptive components on or from such sites.

 

 

General

 

No consent or waiver by either party to, or of any breach or default by, the other party in its performance of its obligations under this agreement will be deemed or construed to be a consent to, or waiver of, a continuing breach or default or any other breach or default of those or any other obligations of that party. No consent or waiver will be effective unless in writing and signed by both parties.

 

These terms and conditions and this Site are governed by the laws of Ontario and the laws of Canada applicable therein, excluding any conflict of laws which would lead to the application of any other laws. You hereby irrevocably submit and attorn to the provincial and federal courts located in the City of Toronto, Ontario for any disputes or matters arising from, connected with, or relating to this Site, agreement or any related matters.

 

If any provision of these terms and conditions is found to be unlawful, void, or for any reason unenforceable, then that provision shall be deemed to be severed from the rest of these terms and conditions and shall not affect the validity and enforceability of any remaining provisions.

 

 

Internet e-mail

 

E-mail over the Internet is not a secure medium and privacy cannot be assured. RockLinc will not be responsible for any loss, harm or damage you may suffer, experience or incur by sending personal or confidential information to RockLinc over the Internet by e-mail, or if we send such information at your request. Please refer to RockLinc’s privacy policy for more information.

 

 

 

Privacy Policy

RockLinc Investment Partners Inc. (“RockLinc”) needs to collect private information from our clients and prospective clients in order to properly fulfill our duties. Understanding a client’s needs and wants, financial position and family issues enables us to ensure that all investment recommendations are suitable. This is both a regulatory requirement and good business. RockLinc is committed to protecting our clients’ privacy and the confidentiality of their personal information in our possession. The following explains the measures we take to fulfill these commitments.

 

 

We ask our clients for no more personal information than necessary.

 

The “Know Your Client” information forms we ask clients to complete elicit only the information we need for contractual, regulatory and income tax requirements including: name, address, phone and fax numbers, email addresses, birth date, social insurance numbers, asset holdings and values, investment knowledge and objectives, spouse’s name and occupation, and children’s and dependents’ names and ages. Our application forms for registered retirement accounts elicit only the information needed to register these accounts with the government including: social insurance number, spouse’s or designated beneficiary’s name and birth date. We do not disclose any non-public personal information to any third party except as required by law or as outlined in this Policy.

 

 

We limit access to clients’ personal information.

 

We record clients’ personal information electronically on computer servers to which only authorized persons have access, and only by means of secure passwords. We authorize employees to have access to clients’ personal information only on a “need to know” basis. We have installed hardware and software security to keep our servers clean and secure. We maintain a duplicate copy of our data at an offsite location for disaster recovery purposes. This data is password protected. We keep paper copies of clients’ personal information in filing cabinets. We keep the computers and filing cabinets in which such information is stored in areas of our business premises that are kept locked when not in use.

 

 

We prevent unauthorized disclosure of clients’ personal information.

 

We train our employees to keep clients’ personal information strictly private and confidential. We require all of our staff to sign our privacy document that obliges them to respect and protect clients’ personal information. We ensure that departing staff understands they remain contractually obliged to respect the privacy of clients’ personal information. We shred paper documents containing clients’ personal information before discarding such documents.

 

 

We expect similar safeguards from our service providers.

 

We may use service providers to provide us with various services such as technology, administration, printing, marketing, legal and accounting. We will require them to have a similar privacy policy or to agree to acknowledge and abide by ours.

 

 

 

We take privacy seriously.

 

RockLinc’s Chief Compliance Officer is responsible for ensuring that RockLinc adheres to its privacy policy. The Chief Compliance Officer is responsible for training our employees in our privacy policies and for monitoring the fulfillment of our privacy commitments. We invite any client or prospective client to contact him for any additional clarification desired by telephone at 1-905-631-5642 or by email at info@rocklinc.com. A client wishing to review his or her personal information in our possession should send a written request to this effect to RockLinc’s Chief Compliance Officer.

 

 

Links to other sites.

 

RockLinc assumes neither responsibility nor control over the content, security, accessibility or accuracy of sites to which we may provide links. When leaving our site, please check the privacy policy and security certificates for the site you are visiting before sharing information.

 

 

Website data tracking.

 

RockLinc maintains a statistical record of website usage and traffic. Analysis of this information reveals which pages are most often visited and the domains from which people visit the site. Identifying these trends helps us to provide more useful information to visitors. No personal information is collected during this process.

 

 

Disclosure to Ontario Securities Commission.

 

Rocklinc is required to provide certain contact information of non-prospectus fund investors to the Ontario Securities Commission (“OSC”) under the authority granted in securities legislation. This information is collected only for the purposes of administration and enforcement of the securities legislation. If you have any questions about the collection and use of this information, you may contact the OSC at the following address:

 

Administrative Assistant to the Director of Corporate Finance
Ontario Securities Commission
Suite 1903, Box 55, 20 Queen Street West
Toronto, Ontario M5H 3S8
Telephone: 416.593.8086

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