Your privacy is of the utmost importance

Our firm-wide commitment to protecting client privacy, confidentiality & assets
  

Our “client first” culture is a foundational principle of Richardson GMP. With most of us now based from our home “offices”, we all continue to work consistently hard to support clients and each other as colleagues. In this context, we want to reiterate the importance of protecting our clients’ privacy, confidentiality and of course, maintaining the exceptionally strong bonds of trust that exist between you and your Advisor Team. Please find below our firm’s ongoing commitment.

Our Privacy Policy

Our Principles underscore our commitment to protecting personal information.

Protecting personal information is a critical part of the sacred trust placed on all of us in meeting the critical wealth management and capital markets needs of our clients.

Richardson GMP Limited is committed to keeping our clients’ and Employees’ personal information accurate, secure and confidential, in compliance with Canada's Personal Information Protection and Electronic Documents Act and substantially similar privacy laws in Alberta, British Columbia and Quebec.

Our Privacy Handbook is a critical resource

Our Privacy Handbook is our critical resource that provides for the following:

  • Ensures compliance with legal and regulatory requirements concerning the protection of personal information;
  • Reinforces preventive protection of personal information measures in order to minimize the occurrence of privacy breaches; and
  • Answers our clients’ questions regarding the protection of their personal information and ensure compliance with the Privacy Handbook.

Our understanding of how personal information is defined

Personal information” means information about an identifiable individual, such as:

  • Client’s name, dates of birth, social insurance number and contact details (address, phone number, email address);
  • Client’s nationality, origin, race, age, sex, marital status; and
  • Client’s identification number, financial information, service history and other information on file.

Our contractual and regulatory obligations to our Clients and our Firm related to the use and protection of personal information is of paramount importance

  • Not using personal information for any personal purpose or for any other purpose than fulfillment of your employment duties with our firm.
  • Ensuring the protection of the personal information to which they have access, in compliance with applicable policies, procedures and codes of conduct.
  • Attending privacy and security training that may be required from time to time.
  • Promptly notifying the appropriate person of any suspected or confirmed privacy breach, in compliance with Section 5 of this Handbook; The responsibility to safeguard personal information rests with every Employee.
  • All Employees have signed a confidentiality agreement which governs their treatment of all personal information and consequences for non-compliance. This confidentiality obligation survives the termination, voluntary or involuntary, of such Employees.
  • All Employees are responsible for the protection of clients’ personal information against loss or theft, as well as unauthorized access, disclosure, copying, use, or modification.
  • All Employees are required to return any document or electronic copy or file containing clients’ personal information upon termination of employment.
  • All Employees must contact the Chief Privacy Officer of their respective firm with any questions they may have regarding the rules contained in this Handbook and more generally, for any issue regarding how to handle clients’ personal information. (GMP Capital and RF Clearing CPO – Krista Coburn and RGMP CPO - Michael Williams)

Our obligations to apply safeguards and best practices to proactively protect personal information are key enablers

Physical safeguards include:

  • Using secure locks on filing cabinets, doors and computer equipment;
  • Using filing cabinets;
  • Complying with the Clean Desk – Confidentiality Policy; and
  • Restricting access to our information processing and storage areas.

Organizational measures include:

  • Limiting access to physical and electronic files to only authorized personnel with a need-to-know in the performance of their official duties.
  • Information must not be discussed with unauthorized parties.

Technological measures include:

  • ­Using passwords, electronic firewalls and encryption of electronically transmitted information. All Employees are required to use firm-supported communication channels and devices for work-related correspondence.

Behavioral measures include:

Discretion

  • Avoid prying eyes when consulting clients’ personal information in public places and avoid discussing clients’ personal information in public places (e.g. elevators, public transportation, restaurants, etc.).
  • Even in private places such as the office, avoid discussing clients’ personal information when not necessary.
  • Remain vigilant to any situation in which the security of clients’ personal information may be compromised.

Paper documents

  • Avoid leaving paper documents containing clients’ personal information unattended, regardless of the location (e.g. in an office, at the printer, at the reception, in a car, etc.).
  • Keep documents containing clients’ personal information safe and away from prying eyes.
  • Ensure personal information is out of sight when outside visitors are present.
  • When documents containing personal information are no longer necessary, dispose of such documents (refer to section 3.5 of the Privacy Handbook for more details).

Computer equipment:

  • ­We adequately protect our computers with appropriate passwords;
  • We do not share passwords or passphrases;
  • We are careful when transporting computer equipment outside the office; and
  • We use laptop locks on docking station if the laptops are left unattended for extended periods, including overnight.

Email and fax transmissions:

  • Before sending any email or fax, we double check the recipient’s email address or fax number;
  • If sending emails with attachments containing clients’ personal information, we encrypt the attachment with a password that is sent separately to a client; and
  • We include the confidentiality notice at the bottom of each email and fax.

If you have any questions about our ongoing commitment and dedication to ensuring that your privacy and confidentiality are protected, please contact your Investment Advisor for more information.