Personal Information Policy
Collection, use and disclosure
Bourse de Montréal Inc. and its Regulatory Division (collectively, the "Bourse"), in the course of their regulatory activities, collect information about you which may be of personal, confidential, non-public, criminal or other similar nature (hereinafter, referred as the "Personal Information"). This Personal Information may be shared through the Personal Information Form or any other forms used by the Bourse for approval or identification purposes, as well as through any other forms of communication with the Bourse. The Bourse may use or disclose this Personal Information for the following purposes:
- to conduct background checks and verifications;
- to control and verify the accuracy of the Personal Information provided;
- to confirm the integrity, ethical conduct and competency to act as an officer, director, trader, services provider, liaison agent, employee, client or consultant for a Canadian or foreign approved participant;
- to consider the eligibility of an entity to be a Canadian or foreign approved participant,
- to detect and prevent fraud, market manipulations and misconduct,
- to conduct markets analysis, investigations, inspections or enforcement proceedings to ensure compliance with the Bourse's rules, policies, procedures, legislation, regulation, directives, decisions or orders; and
- to conduct any other examination, control, evaluation, analysis or verification required as part of the Bourse's regulatory activities.
As part of its activities, the Bourse may also collect Personal Information from other sources, including but not limited to, securities regulatory authorities, self-regulatory entities, foreign exchanges, investigation bodies, courts, government agencies affected to ensure regulatory and legal compliance, and regulation services providers (collectively the "Entities"), or publicly available sources, including websites and social media platforms. The Bourse reserves the right to disclose certain Personal Information it collects in the course of its regulatory activities to the Entities or as otherwise permitted or required by law. The Entities may use such Personal Information for the purposes described above.
Your Personal Information may be transferred (or otherwise made available) to the Bourse's affiliates and other third parties who provide services to the Bourse. For example, the Bourse uses service providers to help process, store and secure data. This may include sending email or other communications using their online services. These service providers are given the information they need to perform their designated functions, and are not authorized to use or disclose Personal Information for their own purposes. Your Personal Information may be maintained and processed by the Bourse, its affiliates and other third party service providers located in Canada or in other jurisdictions. In the event Personal Information is transferred to another jurisdiction, it will be subject to the laws of that jurisdiction and may be disclosed to or accessed by the courts, law enforcement and governmental authorities in accordance with those laws.
Failure to Consent
With your consent, Personal Information is collected by the Bourse and kept for as long as required for the purposes identified above. You may withdraw your consent at any time. If you do not consent to this Personal Information Collection Policy, or subsequently withdraw your consent, the Bourse may (i) refuse to allow you to act as an officer, director, trader, services provider, liaison agent, employee, client or consultant for a Canadian or foreign approved participant, (ii) refuse to allow an entity to become a Canadian or foreign approved participant of the Bourse, amongst other consequences.
Security
The Personal Information that is retained by the Bourse is kept in a secure environment. Only those employees of the Bourse or its service providers who require access to your Personal Information in order to accomplish the purposes and/or services identified above will be authorized to access your Personal Information. Employees of the Bourse or its service providers who have access to your Personal Information are obligated to keep it confidential.
Accuracy
Personal Information about you maintained by the Bourse that is identified by you as inaccurate or obsolete will be replaced or removed, as applicable.
Questions
For purposes of section 3.1 of the Act respecting the protection of personal information in the private sector (the "Quebec Act"), the person exercising the highest authority within TMX Group has delegated the function of ensuring that the Quebec Act is implemented and complied with to TMX's Privacy Compliance Officer, except as follows: (i) in respect of personal information under the control of the Regulatory Division of Montreal Exchange Inc. ("MX"), to MX's Vice President and Chief Regulatory Officer, and (ii) in respect of all other personal information under the control of MX or the Canadian Derivatives Clearing Corporation, to MX's Chief Legal Officer.
The contact information for TMX's Privacy Compliance Officer is:
Privacy Compliance Officer
TMX Group
300 – 100 Adelaide Street West
Toronto, Ontario
Canada M5H 1S3
E-mail: PrivacyOfficer@TMX.com
The contact information for MX's Vice President and Chief Regulatory Officer is:
Vice President and Chief Regulatory Officer
Regulatory Division
Montreal Exchange Inc.
1800 - 1190, avenue des Canadiens-de-Montréal
C. P. 37
Montréal, Québec
Canada H3B 0G7
E-mail: info.mxr@tmx.com
(with a copy to karen.mcmeekin@tmx.com)
The contact information for MX's Chief Legal Officer is:
Chief Legal Officer
Montreal Exchange Inc.
1800 - 1190, avenue des Canadiens-de-Montréal
C. P. 37
Montréal, Québec
Canada H3B 0G7
E-mail: PrivacyOfficer@TMX.com
(with a copy to adam.allouba@tmx.com)
If you have any questions about the privacy principles outlined above or our policies and practices, please send a written request to the appropriate person indicated above.
