Rogers Group Financial (RGF) is committed to ensuring the privacy of all our clients. Staff conduct is bound by strict client confidentiality rules, respecting the private nature of all client data and communications. RGF handles your personal information in accordance with the BC Personal Information Protection Act, the Alberta Personal Information Protection Act and the federal Personal Information Protection and Electronic Documents Act (PIPEDA) as applicable to each client.
RGF is made up of 2 separate companies – Rogers Group Financial Advisors Ltd. (FA Ltd.) and its wholly owned subsidiary, Rogers Group Investment Advisors Ltd. (IA Ltd.). As a client of RGF, you may be a client of FA Ltd., IA Ltd., your advisor’s financial services corporation, or a combination of these, depending on the services, investments or other financial instruments selected to meet your objectives.
Our advisors, through their financial services corporations, their staff and our two RGF companies, collect personal information from you for the purpose of offering you financial planning advice, and implementing your financial plan through the purchase of applicable financial products and services.
RGF personnel will collect demographic (e.g. name, address, date of birth, SIN…), financial (i.e. income, investments, assets…) and other personal (e.g. goals and objectives) data from you. Additional data, including health information, will be collected should you wish to implement certain financial products. Your personal information, regardless of whether it relates to FA Ltd. or IA Ltd., will be commingled for record-keeping purposes (both electronically and physically). Spousal information (unless you provide us with a notice to the contrary - see "Disclosure to Third Parties" below) will also be stored in these collective files.
Disclosure to Third Parties
Information collected on internal (RGF) forms and through personal correspondence or meetings with advisors and staff is made available only to members of our firm, our regulators when required by law or regulation, and to the extent of their implementation requirements, to other financial institutions utilized in your plan.
For regulatory purposes, self regulatory organizations (SROs) including the Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Investor Protection Fund (CIPF) require access to collected personal information of current and former clients, employees, agents, directors, officers and others. SROs collect, disclose and use the personal information obtained from us for the following regulatory purposes: sales, financial compliance, trade desk review and other regulatory audits; investigation of potential regulatory and statutory violations; regulatory databases; enforcement or disciplinary proceedings; surveillance of trading–related activity; reporting to securities regulators; and information-sharing with securities regulatory authorities, regulated marketplaces, other SROs and law enforcement agencies in any jurisdiction in connection with any of the foregoing.
Frequently, the financial planning services we provide to our clients are based on the combined income, assets and objectives of client spouses. In the absence of a written request to the contrary, we will allow for the disclosure of personal information between spouses. We will also provide information, at your request, to other third parties such as other family members, accountants and lawyers.
RGF occasionally uses other third party service providers to process and store our data, including client information.
Personal information provided to us, required for the creation, updating and management of financial plans will not be destroyed in a scheduled manner. However, data deemed unnecessary to provide you with financial planning services and products will be destroyed in a confidential manner. Some client information is retained indefinitely for legal purposes.
You have the right to correct any of the personal information we have on file for you.
Access to Information
Access to your personal information is available upon your written request. A fee will be charged for this service.Requests for access to information should be sent to our Privacy Officer at the address below.
Your consent to the collection, use and disclosure of your personal information as described in the manner above, is given at the inception of your relationship with RGF. It is your right to withdraw full or partial consent. Please be aware that withdrawing your consent may prevent us from continuing to provide you with our services. To withdraw your consent, please contact your financial advisory team in writing.
Our Privacy Officer can be contacted at:
Fifth Floor, 1770 West 7th Avenue
Vancouver, B.C. V6J 4Y6
T: 604.732.6551 | 1.800.784.6066