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Privacy Policy

Privacy Policy

Our Commitment to You Stone Asset Management Limited (“SAM” or “Stone”) is 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:

  • Other financial institutions, securities dealers or mutual fund companies; and
  • 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:

  • To establish your identity;
  • To ensure our records are accurate;
  • To establish and administer your account;
  • To execute your transactions;
  • To record, maintain and store account holdings and transaction records;
  • To provide you and your financial advisor with account information and statements;
  • To provide you with financial statements, tax receipts, transaction confirmations, proxy mailings and other information that may be required to service accounts;
  • To meet legal and regulatory requirements; and
  • 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:

  • Your financial advisor, dealer or intermediary;
  • Other financial institutions, securities dealers and mutual fund companies, for example, when you move your investments from one firm to another;
  • Other companies affiliated with Stone Asset Management Limited;
  • Contracted third-party service providers, such as account statement providers and mailing companies, imaging companies and document storage companies;
  • Canadian governments, government agencies and regulators; and
  • Any other entity as required by law.

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.

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 can you withdraw all or part of your consent?

You may withdraw your consent of Stone’s 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.

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 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.

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.

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.

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.

A provider of recordkeeping and related services to the funds will subcontract a portion of these services to an off-shore organization. We have been assured by our service provider that all data and personal information will be subject to appropriate security protection. As a result of this subcontracting by our services provider, your personal information may be processed or stored outside of Canada and may be available to foreign governments, courts or law enforcement officials.