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Privacy Law and the Collection, Use and Disclosure of Personal Information by Interactive Brokers Canada Inc.

INTERACTIVE BROKERS CANADA INC. - PRIVACY NOTICE

Interactive Brokers Canada Inc. ("IBKR", "we" or "us" or "our") is part of the Interactive Brokers Group of companies ("IBKR Group"). Our collection and use of personal information is described in the Interactive Brokers Group Privacy Notice ("IBKR Group Policy").

The IBKR Group, including IBKR, understands that the confidentiality and security of the personal information you share with us is important and we handle all information we collect about you in accordance with the IBKR Group Policy and applicable client agreements.

When we refer to "you", we are referring to natural persons who are residents of Canada, and are either IBKR clients, people who are applying to open an account with us, or other persons who use our services or visit our website.

Our data privacy policies and practices, as applied to Canadian residents, are subject to, and designed to comply with the Personal Information Protection and Electronic Documents Act (PIPEDA) and the Canada Anti-Spam Legislation (CASL). Any solicitations we send via email are sent in compliance with CASL limitations.

You are advised that any personal information collected by IBKR in accord with the IBKR Group Policy or the IBKR Client Agreement may be shared, as needed, with IBKR Group employees agents and affiliates, including those based in the United States or other foreign jurisdictions.

If you have questions or concerns regarding IBKR's collection or use of your personal data, include IBKR's compliance with PIPEDA or CASL, please contact us at IBcanadaprivacy@IBKR.com. If you require additional assistance, the Office of the Privacy Commissioner Canada (OPCC) may provide you with information:

Office of the Privacy Commissioner of Canada (OPCC)
Website: https://www.priv.gc.ca/en/contact-the-opc/
Phone: 1-800-282-1376 Fax: 1-819-994-5424
Mail: 30 Victoria Street, Gatineau, QC K1A 1H3

Personal information is identifiable data about an IBC customer. It can include, without limitation, information contained in new client account forms and related account opening documentation, account statements and records of trading and account activity and checks and financial records in relation to trading in securities.

As IBC (or its affiliate) is a member of Investment Dealers Association of Canada, Market Regulation Services Inc. , the Bourse de Montreal Inc., and the Canadian Investor Protection Fund ( collectively, the self-regulatory organizations or “SROs”), IBC has obligations to produce or make available for inspection documents and information to SROs, from time to time, for regulatory purposes.

For regulatory purposes, SROs require access to personal information of current and former clients, employees, agents, directors, officers, partners and others that has been collected or used by IBC.

SROs collect, use or disclose such personal information obtained from IBC for regulatory purposes, including:

  • Surveillance of trading-related activity;
  • Sales, financial compliance, trade desk review and other regulatory audits;
  • Investigation of potential regulatory and statutory violations;
  • Regulatory databases;
  • Enforcement of disciplinary proceedings;
  • Reporting to securities regulators; and
  • Information-sharing with securities regulatory authorities, regulated marketplaces, other self-regulatory organizations and law enforcement agencies in any jurisdiction in connection with any of the foregoing.