Octagon Capital Corporation

Notices and Disclaimers

Octagon Capital Corporation is a Member of the Investment Industry Regulatory Organization of Canada.

The information provided on this web site is intended to provide information only and is not intended to be legal, financial, accounting, or other advice. Consult with an Octagon Capital Corporation advisor or your own advisor before acting on any information from this web site.

Nothing on this web site should be considered an offer or solicitation by Octagon to buy or sell securities or any products or services of any kind. Octagon may participate in underwritings or hold positions in, or make markets in, securities mentioned in this web site. Octagon may purchase and/or sell any securities mentioned on this web site for its own account as principal or as agent for clients.

Links to other web sites does not imply that Octagon has approved or investigated the content of such sites or endorses such web sites or any products or services offered therein.

The information contained in this web site is drawn from sources believed to be reliable, but the accuracy and completeness of the information cannot be guaranteed and it is subject to change without notice. Octagon has no obligation to update or correct any information on this site.

Information about the products and services offered by Octagon is intended for use only in jurisdictions where their sale or use is legal. Not all products and services are available in all provinces of Canada or in all countries. Octagon is not registered in all jurisdictions and may not be able to effect transactions on behalf of persons accessing this web site.

Canadian laws apply to this web site and to any use of this web site by any user, without regard to the citizenship, residence or physical location of the user. The user of this site submits and attorns to the exclusive jurisdiction of the courts of the Province of Ontario to determine any proceeding arising out of the use of this site

Octagon assumes no responsibility and is liable for any damages to, or viruses that may infect, your computer or other equipment as a result of use of this web site or any downloading of any files, text, or images from this web site.

Octagon Trade Matching Statement

An Important Message About Protecting Your Privacy

Octagon Capital Corporation earns your trust by adhering to privacy principles that respect your interest in protecting your personal information. This notice is provided on behalf of Octagon Capital Corporation, Octagon Financial Services Inc., (collectively "Octagon" herein) and Octagon's related service providers.

Definition of Personal Information

The term "personal information" refers to information that specifically identifies you as an individual and is provided to or collected by us. It includes, for example, your name and address, age and gender, personal information records, identification numbers, including your social insurance number (SIN) and your employment information.

For business clients, information includes the above data plus names of officers, directors, owners, shareholders, jurisdiction of incorporation, financial information and ownership structure.

Why Do We Ask for Your Personal Information?

Octagon may from time to time collect financial and other information about you. This information includes transaction-related details arising from your relationship with and through us. You authorize us to collect this information when you open an account with us, and during the course of our relationship. We may obtain this information from a variety of sources, including from you, from our records and from references you provide to us. Finally, we may also collect information from credit reporting agencies, other financial institutions or service providers.

Sharing Your Personal Information

We may use and share your personal information with our employees, third-party service providers and other financial institutions, but they will not share this information with others. The information may only be used for the following purposes:

to verify your identity and conduct background verification
to operate your account and provide you with products and services you may request
to better understand your financial situation
to help us manage our business and relationship
to set up, manage and offer products and services including insurance products offered by our affiliate, Octagon Financial Services Inc.
if you provide us your social insurance number, we may share it with government authorities for tax purposes. We may share it with credit reporting agencies to ensure the accurate matching of credit history files.
if you select to disclose or specifically direct us to disclose for you, your personal information to a third party (as in the case where you request a product, such as a mutual fund or a service from a third party, after receiving information or to securities issuers under National Instrument 54-101.)
to meet requirements of legal and securities regulatory authorities and self-regulatory organizations including Market Regulation Services Inc., the Investment Dealers Association of Canada, the Mutual Funds Dealers Association, and the Canadian Investor Protection Fund (Collectively, "SRO's"). SRO's collect, use or disclose such personal information obtained from registrants 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 or disciplinary proceedings; - Reporting to securities regulators.

The only occasions when we are permitted to disclose client information is when it is:

Authorized by the client;
Required or permitted by law;
Necessary to defend our interests; or
In the public interest.

Octagon has summarized the ten principles, which have been built upon the values set by the Canadian Standards Association's Model Code for the Protection of Personal Information and Canada's Personal Information Protection and Electronic Documents Act (PIPEDA).

Accountability - Octagon is responsible for maintaining and protecting client information under its control. In fulfilling this mandate, we are required to designate an individual or individuals who is/are accountable for Octagon's compliance with the Ten Privacy Principles and who is/are responsible for answering clients' enquiries or concerns. These individuals will report all related privacy issues to the President & CEO & of Octagon.

For Ontario, other provinces and countries, except British Columbia and Alberta, enquiries can be directed to Paulette Brangman at 416-306-2506 or via e-mail at pbrangman@octagoncap.com (a Toronto staff). For B.C and Alberta clients, please contact Barbara Blackwood at 403-750-0483 or via e-mail at b.blackwood@octagoncap.com.

Identifying Purposes - The purposes for which customer information is collected shall be identified before or at the time the information is collected.

Consent - The knowledge and consent of the customer are required for the collection, use or disclosure of customer information except where required or permitted by law.

Limits to the Collection of Personal Information - Octagon will limit the amount and type of personal information collected to that which is necessary for its purpose. Personal information will be collected by fair and lawful means.

Limits to the Use, Disclosure and Retention of Personal Information - Octagon will not use or disclose personal information for purposes other than those for which it was collected except with the consent of the individual or as required or permitted by law. Personal information will be retained only as long as necessary for the fulfillment of those purposes.

Accuracy - Octagon will keep personal information as accurate, complete and up-to-date as necessary for its purposes.

Safeguarding Customer Information - Customer information must be protected by security safeguards that are appropriate to the sensitivity level of the information. Every Octagon employee, as a condition of employment, takes responsibility for protecting customer privacy, confidentiality and security. This obligation remains in effect even after an employee leaves Octagon. Suppliers of services to Octagon, such as data processing firms, are required to sign contracts obligating them to protect the privacy and confidentiality of personal information provided to them to enable them to perform their function. Appropriate controls are in place over computer systems and these controls are reviewed on an ongoing basis to ensure compliance with our security and privacy polices.

Openness - Octagon will make available for review its policies and procedures regarding management of personal information. Octagon will ensure individuals are reasonably able to acquire information regarding Octagon's policies and procedures and will make this information available in a form that is generally understandable.

Individual Access - Upon request in writing, a client shall be informed of the existence, use and disclosure of their information and shall be given access to it. Clients may verify the accuracy and completeness of their information, and may request that it be amended if appropriate.

Handling Customer Complaints and Suggestions - Questions or concerns regarding personal information held by Octagon or about its compliance with the Octagon Privacy Code, can be answered by the Investment Advisors at the branch where you deal. If necessary, the Investment Advisor can direct you to the designated individuals mentioned in Principle 1 - Accountability.

Octagon takes our responsibility for protecting the confidentiality of your personal information very seriously. If you have any other questions, please do not hesitate to ask your Investment Advisor.

Acknowledge with acceptance by: ___________________________________
Client Name (Please Print)

Signature of Client: ___________________________________

Date : ___________________________________