Micorsoft365 Login: www.microsoft.com/en-CA/Microsoft-365
VieFUND Login: webaccess.altimum.ca
Investor Access: webaccess.altimum.ca/MyPortfolio/

MFDA:

Financial Reporting: http://www.mfda.ca/index.html
Rules: http://www.mfda.ca/regulation/rules.html
Member Regulation Notices: http://www.mfda.ca/regulation/notices.html

Lists of Terrorists and Known Criminals:

• Lists of Terrorists and Known Criminals

Altimum Forms Package:

Trading Forms:

• New Account Application Form
• Purchase Order Form Revised January 2022
• Redemption
• Redemption Fee Disclosure Certificate
• Switch

Other Forms:

• Assessment Re Data Breach Prevention (PDF)
• Approved Person Interview Revised 2021 (PDF)
• Residency and Citizenship Declaration for Non-Registered Accounts (PDF)
• Declaration of Tax Residence for Individuals (PDF)
• Declaration of Tax Residence for Entities (PDF)
• Summary of Altimum Complaint Policies (PDF)
• Beneficiary Change Letter of Direction (PDF)
• Beneficiary Designation Form (PDF)
• Client Complaint Information Form (PDF)
• Commission Rebate or DSC Disclosure Form
• Conflict Of Interest
• Change Of Address
• Change of Banking Information
• Altimum Sub Branch Risk Ranking
• Compliance Branch Audit
• E-Delivery Client Consent Form
• Fundfacts Receipt and PreTrade Cost Disclosure
• FundFacts Receipt and PreTrade Cost Disclosure for Multiple DSC Schedules
• Record Of Client Contact
• Minors Account Form
• Review and Analysis of Leverage Account
• Request for Letter of Indemnity
• Linked Notes Disclosure Document
• Limited Authorization for Altimum
• Dealer Change
• Leverage and Regulatory Disclosures and Benchmark Information
• Referral Arrangements Form
• Rejected Trade Query

Compliance Manual 2019:

Introduction, Acknowledgement and Contents (PDF)
Section 1 The Compliance Function (PDF)
Section 2 Registration Requirements (PDF)
Section 3 Branches and Sub-Branches (PDF)
Section 4 Books and Records (PDF)
Section 5 Client Accounts and Client Reporting (PDF)
Section 6 Market Timing, Switches and Transfers of Mutual Funds, and Prohibited and Questionable Trades (PDF)
Section 7 Leveraging (PDF)
Section 8 Dual Occupations and Outside Employment (PDF)
Section 9 Referral Arrangements and Commission Splitting (PDF)
Section 10 Conflicts of Interest (PDF)
Section 11 Recission and Withdrawal Rights (PDF)
Section 12 Ethics (PDF)
Section 13 Commission and Compensation Structure (PDF)
Section 14 Advertising and Sales Communications (PDF)
Section 15 Client Complaints (PDF)
Section 16 Compliance Investigations and Disciplinary Action Policy (PDF)
Section 17 Protection of Personal Client Information (PIPEDA) (PDF)
Section 18 Regulations Regarding the Proceeds of Crime (PDF)
Section 19 Bonding and Insurance (PDF)
Section 20 Out of Province Clients (PDF)
Section 21 Cybersecurity and Computer Usage Policy (PDF)
Section 22 Foreign Account Tax Compliance Act (FATCA) (PDF)

The Compliance Officer is Edith Reid.

Altimum Head Office: www.Altimum.ca