Privacy Statement
Our Commitment to You
Stone Asset Management Limited (“Stone”) and its affiliated companies are committed to conducting our business in the highest professional and ethical manner. It's one of our core values. We are committed to providing investors with excellent service while respecting the privacy of personal information. The Stone Privacy Policy outlines and demonstrates our commitment to protecting your privacy and safeguarding your personal and financial information
What is personal information?
Personal information is information that identifies you. It includes information such as your name, age, marital status, birth date, social insurance number, home address and telephone number.
How do we obtain your personal information?
We collect personal information on account application forms, paper and electronic instructions, and telephone instructions from you or your dealer. We may collect information about you from a third party in the normal course of business. These parties may include:
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Other financial institutions, securities dealers or mutual fund companies; and
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Other companies affiliated with Stone Asset Management Limited.
How do we use your personal information?
We may use your personal information for the following purposes:
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To establish your identity;
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To ensure our records are accurate;
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To establish and administer your account;
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To execute your transactions;
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To record, maintain and store account holdings and transaction records;
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To provide you and your financial advisor with account information and statements;
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To provide you with financial statements, tax receipts, transaction confirmations, proxy mailings and other information that may be required to service accounts;
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To meet legal and regulatory requirements; and
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To provide you with customer service.
To whom do we disclose your information?
In the normal course of business we may be required by third-parties to disclose your information to our agents, our suppliers or other organizations. These parties may include:
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Your financial advisor, dealer or intermediary;
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Other financial institutions, securities dealers and mutual fund companies, for example, when you move your investments from one firm to another;
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Other companies affiliated with Stone Asset Management Limited;
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Contracted third-party service providers, such as account statement providers and mailing companies, imaging companies and document storage companies;
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Canadian governments, government agencies and regulators; and
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Any other entity as required by law.
Disclosing your information when permitted or required by law
Stone must provide information where required by a valid demand, search warrant or other legally valid inquiry. We may disclose information to an investigative body in the case of a breach of an agreement or contravention of laws.
How do we obtain consent?
In providing information to us, directly or through your financial advisor, and continuing to conduct business with us you are consenting to the use of your personal information. Our privacy policy is available on our website at www.stoneco.com or by requesting a copy from our Client Services Team at 800 336 9528 and may be included in your application form if you open an account directly with Stone.
How can you withdraw all or part of your consent?
You may withdraw your Stone’s consent use of your personal information by contacting us. Your decision to withdraw your consent may limit the products and services that Stone can offer you. In some circumstances, legal requirements may prevent you from withholding consent.
Keeping your information accurate
The accuracy of your personal information is essential to providing you with excellent service. If you wish to change or update your personal information, please contact us. Please inform us of any errors regarding your personal information right away, so that we may correct our records.
Your right to access your personal information
Upon written request Stone will provide you with access to your personal information. Please note that we may not be able to provide you with your information in certain circumstances. For example: information containing references to other persons, information containing proprietary information confidential to Stone, or information that cannot be disclosed for legal reasons.
Where do we keep your personal information?
Your personal information may be kept in electronic or paper format in our offices, in secure off-site storage facilities, or in the offices of our service providers, such as International Financial Data Services (Canada) Limited.
How do we protect your personal information?
Policies, procedures and safeguards have been put in place to ensure your personal information is protected. Our employees and service providers have access to your personal information to enable them to provide necessary services to you. Any personal information collected from you will only be used for the purposes identified at the time of collecting the information and will be retained for as long as is necessary to fulfill the service, or as required by law.
Security measures including passwords, restricted access to our offices and records and physical access security, have been put in place to protect your information against unauthorized access, modification, loss, theft or general misuse.
Resolving your concerns
If you have any questions or concerns about the treatment of your information please follow these steps:
Step 1. In most cases, a concern is resolved simply by discussing it with a member of our Client Services Team, who can be contacted by telephone at 800 336 9528 or 416 364 9188 or via email at clientservices@stoneco.com, via fax at 416 364 2498 or by mail at Stone Asset Management Limited, Attention: Privacy Officer, 36 Toronto Street, Suite 710, Toronto, ON, M5C 2C5.
Step 2. If your concerns have not been resolved to your satisfaction, please contact our Privacy Officer directly, who can be reached by telephone at 800 336 9528 or 416 364 9188 or via email at clientservices@stoneco.com, via fax at 416 364 2498 or by mail at Stone Asset Management Limited, Attention: Privacy Officer, 36 Toronto Street, Suite 710, Toronto, ON, M5C 2C5.
Step 3. In the event that you have not obtained a satisfactory resolution through steps 1 and 2, you may contact the Privacy Commissioner of Canada at 1 800 282 1376 or by writing to: The Privacy Commissioner of Canada, 112 Kent Street, Ottawa, ON, K1A 1H3. In Quebec, The Commission d’accès à l’information, 575, rue St. Amable, Bureau 1.10; phone 418 528 7741 or 888 528 7741.