National Instrument 24-101 Trade Matching and Settlement Trade-Matching Statement
TO: All Trade-matching Parties acting on behalf of, or executing a trade with:
NICOLA WEALTH MANAGEMENT LTD.
This Trade Matching Statement is being provided in accordance with National Instrument 24-101-“Institutional Trade matching and Settlement” and Companion Policy 24-101CP( the “ National Instrument”). It applies to all trades that are subject to the National Instrument.
We confirm that we have established, maintain, and enforce policies and procedures designed to achieve matching in accordance with the National Instrument.
SIGNED: Danielle Skipp, Chief Compliance Officer, Nicola Wealth Management Ltd.
Nicola Wealth Management Ltd. Accessibility Policy
Nicola Wealth Management Ltd. (“Nicola Wealth”) is committed to ensuring equal access and participation for people with disabilities. We believe in integration and we are committed to: (a) meeting the needs of people with disabilities; (b) providing a barrier-free environment; and (c) barrier free services for all clients, prospective clients and employees. We will do so by removing and preventing barriers to accessibility and meeting our accessibility requirements under the Accessibility for Ontarians with Disabilities Act (AODA) and Ontario’s accessibility laws. This policy is intended to guide our efforts to ensure that our offices, products and services are accessible to all. This policy applies to all Nicola Wealth locations in Ontario, however all of our locations and offices endeavor to comply with and abide by the spirit of this policy. Our accessibility policy outlines the responsibilities of all employees who deal with the public on our behalf in providing services to people with disabilities.
Nicola Wealth is committed to meeting its current and ongoing obligations under the Ontario Human Rights Code respecting non-discrimination and understands that obligations under the AODA and its accessibility standards do not substitute or limit its obligations under the Ontario Human Rights Code or obligations to people with disabilities under any other law. Nicola Wealth is committed to excellence in serving and providing our products and services to all clients. Our policy has been drafted with the principles of independence, dignity, integration and equality of opportunity for people with disabilities in mind.
Nicola Wealth is committed to training all employees, affiliates and others who deal with the public on our behalf in: (a) accessible client service, (b) Ontario’s accessibility standards, and (c) aspects of the Ontario Human Rights Code that relate to persons with disabilities. All Nicola Wealth employees and affiliates in Ontario are trained after being hired and when there are changes to our accessibility policy, practices and procedures. Records of the training provided, including the dates of training and individuals to whom it was provided are kept by the Compliance Solutions Department.
- An overview of the Accessibility for Ontarians with Disabilities Act, 2005 and the requirements of the customer service standards and our policies;
- How to interact and communicate with people with various types of disabilities;
- How to interact with people with disabilities who use an assistive device or require the assistance of a service animal or a support person;
- How to use equipment or devices that may help a client with disabilities access our products and services; and
- How to assist a person with a disability who is having difficulty accessing our products and services.
We ensure that our employees and affiliates are trained and familiar with various assistive devices that may be used by customers with disabilities while accessing our office in Ontario.
We communicate with people with disabilities in ways that take into account their disability. We will work with the person with disabilities to determine what method of communication works for them. We will train employees and affiliates who communicate with clients and prospects on how to interact and communicate with people who have various types of disabilities.
Service animals are always welcome in our offices.
A support person is always welcome to accompany a person with disabilities.
Notice of Temporary Disruption
In the event of a planned or unexpected disruption to services for clients and prospective clients with disabilities in Ontario, will notify such clients promptly. This notice will specify the reason for the disruption, its anticipated length of time, and a description of alternative facilities or services that may be available. The notice will be made publicly available on our website at www.nicolawealth.com and/or in the reception area of our office.
Nicola Wealth aims to meet or surpass client expectations in servicing clients with disabilities. We welcome feedback on how we are doing in providing accessible client service. Client feedback will help us identify barriers and respond to concerns. Please direct all feedback to our Compliance Solutions Department. Complaints will be addressed according to Nicola Wealth’s regular complaint handling procedures and clients can expect a response within 10 business days. Upon request, all documents will be provided in alternative format to take into account a person’s disability.
Questions, feedback and complaints regarding Nicola Wealth’s Accessibility Policy can be directed to:
Compliance Solutions Department
Nicola Wealth Management Ltd.
5th Floor West Broadway
Vancouver, BC V6J 1W8
Phone (toll free): 1-800-219-8032
Email: [email protected]
Changes to Existing Policies
Any policies of Nicola Wealth that do not respect and promote the principles of dignity, independence, integration and equal opportunity for people with disabilities will be modified or removed. We are committed to client services policies that respect and promote the dignity and independence of people with disabilities. Changes to our policy may result from client or prospective client feedback, changes to the Act or its regulations.