Disclosures

Privacy Policy
Dominick Capital Corporation is committed to respecting the privacy of your personal information. However, it must be understood that the Internet is not a secure medium of communication. As such, we cannot guarantee the privacy of any information you input on this web site, send to us, or request be delivered to you on the Internet. Accordingly, we will not be held responsible for any damages you or others may suffer as a result of the loss of confidentiality of any such information.

This Privacy Policy informs you of Dominick Capital Corporation’s policies and practices relating to the collection, use and disclosure of personal information that may be provided through access to or use of our website or services and related products or that may otherwise be collected by Dominick Capital Corporation. This Privacy Policy applies to Dominick Capital Corporation’s individual clients, including persons who carry on business alone or in partnership with other individuals. For the purpose of this Privacy Policy, “personal information” means information about an identifiable individual.

1. Collecting Information

When collecting personal information from you, we will explain what information we collect and how we intend to use it. With respect to the information we request when you open an account with Dominick Capital Corporation, this explanation is set out in the Dominick Capital Corporation Privacy Agreement, which is included in the documentation you will receive when you open an account with Dominick Capital Corporation.

The personal information Dominick Capital Corporation may collect includes the following:

Contact information (such as name, address, e-mail address and telephone number in a non-business capacity); Proof of identity (such as a signature or driver’s license number); Financial and billing information (such as credit card number/expiration date and credit history); and Demographic information (such as age, education and occupation).] You authorize Dominick Capital Corporation to collect from its web site and from any third party identified on the Dominick Capital Corporation web site all information about you and your use of the Dominick Capital Corporation web site and to retain all such information and you hereby authorize any party to provide us with such information.

2. Disclosing Information Dominick Capital Corporation may share personal information with third parties engaged to assist us in providing services to you or to carry out one or more of the purposes described above. These service providers are prohibited from using your personal information for any purpose other than to provide this assistance and are required to protect personal information disclosed by Dominick Capital Corporation and to comply with the general privacy principles described in this Privacy Policy.

Notwithstanding the above, Dominick Capital Corporation reserves the right at all times to disclose any information about you or your use of the Dominick Capital Corporation web site to a third party to satisfy any law, regulation, search warrant, subpoena or court order.

Dominick Capital Corporation also reserves the right to disclose and/or transfer personal information to a third party in the event of a proposed or actual purchase, sale (including a liquidation, realization, foreclosure or repossession), lease, merger, amalgamation or any other type of acquisition, disposal, transfer, conveyance or financing of all or any portion of Dominick Capital Corporation or of any of the business or assets or shares of Dominick Capital Corporation or a division thereof in order for you to continue to receive the same products and services from the third party.

3. Protecting Information Dominick Capital Corporation will make commercially reasonable efforts to protect your information against loss, theft and unauthorized access. Access to your personal information is restricted to selected employees or representatives and we have provided training to our employees so they will understand the need for confidentiality when dealing with your personal information. We will retain your information for as long as it is necessary to service your account or to fulfill the purpose(s) for which it was collected or as is required by law and/or industry regulations and your consent to such purpose(s) remains valid after termination of our relationship with you. In addition, Dominick Capital Corporation employs generally accepted information security techniques, such as[firewalls, access control procedures and cryptography, to protect personal information against loss and unauthorized access and use.

For the purposes set out in this Privacy Policy, we or one of our affiliates or related companies or an unaffiliated service provider may process and store your personal information outside of the province in which you reside and/or outside of Canada, and as such, courts in those other provinces or foreign jurisdictions may, in certain circumstances, be entitled to access your personal information.

4. Providing Access

Dominick Capital Corporation will provide you with access to your personal information upon your request. We will take all reasonable steps to ensure that your personal information is accurate, complete and up-to-date. In order to notify us that your personal information has changed or to request access to your personal information, you may contact us as outlined below.

5. Why We Need Your Information

Dominick Capital Corporation will ask for a variety of personal information when you open an account with us because securities industry regulations demand that we obtain a minimum amount of information about you so that we can provide the proper level of service and supervision to your account. This information is generally referred to as the “Know Your Client Rule” (or “KYC Rule”).

We may also base our recommendations about our products and services to you on the personal information that you provide to us. For instance, we may use your birth date for identification purposes or to assess your eligibility for specific products and/or services upon your request, which may be of benefit to a certain age group.

We will require your SIN in order to comply with certain Canada Customs and Revenue Agency’s reporting requirements as well for identification purposes.

Industry standards demand that we know your financial information to help us identify products and services which are suitable for you [upon your request], such as the use of margin in an account.

We will also use other personal information we collect from you to:

Provide you with personalized services and interactive communication; Provide you with timely and reliable services; Do all the things necessary to administer those services; Research, develop, manage, protect and improve those services; Advise you about new products and services that may be of interest to you; Develop and maintain our relationship with you and communicate with you; Bill you for our products and services; and Collect outstanding debts.

6. Selling of Personal Information

Except with your consent, Dominick Capital Corporation does not nor will it sell, license, trade or rent your personal information to or with others. As noted above, the purpose of obtaining your personal information is solely for the administration of your brokerage account and/or the purposes identified at the time of collection.

7. Your Right to Withdraw Consent

Please be advised that when you sign the documentation required to open your account, you will see that within that documentation is our Privacy Agreement. By opening an account with us or by otherwise providing us with your personal information, you are providing your consent for us to collect, use and disclose your personal information in accordance with the Privacy Agreement and/or this Privacy Policy, as applicable. At any time, should you wish to withdraw this consent, we ask that you please notify us accordingly. However, by withdrawing your consent, please understand that we may be unable to provide certain services and products to you. We will inform you of the implications of withdrawing consent. We will not, as a condition of the supply of a product or service, require you to consent to the collection, use or disclosure of information beyond that required to fulfill the explicitly specified and legitimate purposes for which the information is being provided.

8. Cookies

When you visit our web site, we place a text file called a “cookie” in the browser directory of your computer’s hard drive. A cookie is a small piece of information that a web site can store on your web browser and later retrieve. The cookie cannot be read by any website other than the one that set up the cookies. Some browsers can be set to reject all cookies. If you choose to modify your browser in this manner, some pages of this website may not function properly/your experience on this website will not be affected.

9. Links to Third Party Sites

This web site may offer links to other third party websites. You should be aware that operators of linked websites may also collect your personal information (including information generated through the use of cookies) when you link to their websites. Dominick Capital Corporation is not responsible for how such third parties collect, use or disclose your personal information, so it is important to familiarize yourself with their privacy policies before providing them with your personal information.

10. Changes to this Privacy Statement

Dominick Capital Corporation reserves the right to modify this Privacy Policy at any time without notice. The Privacy Policy posted at any time or from time to time via this website shall be deemed to be the Privacy Policy then in effect.

11. Contacting Us

In the event that you have any questions about Dominick Capital Corporation’s Privacy Policy or if you have reason to believe that Dominick Capital Corporation may have failed to adhere to this Privacy Policy, you may contact us at:

Dominick Capital Corporation

133 Richmond Street West, Suite 602 Toronto, Ontario, Canada M5H 2L3

Attention: Patrick Lilly CCO 416.369.6929

Or call us at 1-866-804-0607 Or plilly@dominick.ca Dominick Capital Corporation
AML & ATF Regime
Dominick Capital Corporation has adopted an Anti-Money Laundering and Anti-Terrorist Financing Policy (“Policy”) to:

• Minimize the risk that Dominick Capital Corporation or its employees inadvertently become involved in money laundering or terrorist financing activities;

• Help protect the safety, soundness and reputation of Dominick Capital Corporation by reducing the likelihood that Dominick Capital Corporation will be used as a vehicle for, or become a victim of, financial crime; and

• Help facilitate compliance with all applicable regulatory requirements relating to anti-money laundering (“AML”) and anti-terrorist financing (“ATF”) in each country in which Dominick Capital Corporation operates

The Policy and related standards (covering such topics as “know your customer”) and Politically Exposed Persons (“PEPs”), are applicable to all divisions of Dominick Capital Corporation, and meet or exceed the AML/ATF regulatory standards.

Dominick Capital Corporation has implemented procedures to ensure that relevant regulatory obligations with respect to reporting of large cash transactions, electronic funds transfers and cross-border movements of cash and monetary instruments are met in each jurisdiction.

Dominick Capital Corporation has appointed a Chief Anti-Money Laundering Officer (“CAMLO”) who is responsible to senior management and the board of directors for establishing and maintaining Dominick Capital Corporation’s AML/ATF Program. The CAMLO has appointed an Alternate AML Officer (“AAMLO”).

All new employees are required to compete Dominick Capital Corporation’s AML/ATF training within thirty (30) days of commencing employment, and thereafter are required to complete AML/ATF refresher training in accordance with Dominick Capital Corporation’s standards.

All Dominick Capital Corporation employees are required to report any identified unusual transaction or activity to the appropriate Dominick Capital Corporation AML Officer. The AML Officer will conduct an analysis to determine whether the information may indicate money laundering or terrorist financing, and requires submission of a report to the appropriate authority.

For further information on any of the above matters, please contact:

Patrick Lilly

CCO

Dominick Capital Corporation

E-mail: plilly@dominick.ca
Disclaimer
Please be advised that by accessing, viewing or otherwise using this web site, you agree to comply with and be bound by these Terms and Conditions set out below. If you do not agree with these Terms and Conditions, do not access this web site or any pages thereof. Dominick Capital Corporation is referred to on this web site and in these notices as “Dominick”.

1. No Advice and No Solicitation The information provided on this web site is intended for informational purposes only and is not intended to provide specific financial, investment, accounting, legal, insurance, or tax recommendations or advice and should not be relied upon as such. You should consult directly with a Dominick professional or your advisor before acting on any information on this web site. You are solely responsible for determining whether any investment, security or strategy, or any other product or service, is appropriate or suitable for you. User requests for information are unsolicited and shall neither constitute nor be considered investment advice from Dominick. This web site is solely for exchange of information and no information contained herein constitutes a solicitation or offer by Dominick to buy or sell products or services of any kind whatsoever, including, and without limitation, securities or any other financial instruments of any issuer. PLEASE BE ADVISED THAT TRADING INSTRUCTIONS SHOULD NOT BE COMMUNICATED VIA E-MAIL, AND IF RECEIVED WILL NOT BE ACTED UPON.

2. Revisions Dominick may at any time revise these Terms and Conditions by updating this posting with or without notice to you and your continued access or use of the web site shall constitute your agreement to be bound by such updated Terms and Conditions. You should therefore review these Terms and Conditions each time you access this web site.

3. Applicable Jurisdictions Any products or services mentioned on this web site are made available only in accordance with local law (including applicable securities law) and only where they may be lawfully offered for sale. Users outside of Canada who access and use this web site do so at their own risk, and are responsible for compliance with applicable securities and other laws and regulations.

4. Monitoring Dominick is under no obligation to monitor this web site and assumes no responsibility or liability should its content be modified or altered in any way without the knowledge and/or consent of Dominick. You agree that Dominick may, in its sole discretion and without prior notice or liability, at any time either temporarily or permanently discontinue or modify any aspect of the web site and/or content including without limitation: (i) restricting the time the web site and/or content are available; (ii) restricting the amount of use permitted; and (iii) restricting or terminating any user’s right to use the web site and/or content. Any access or attempt to access or use this web site for any unauthorized or illegal purpose is strictly prohibited.

5. Accuracy This web site is provided without charge as a convenience to visitors to be used for the purposes of information, education and communication. Dominick does not warrant or make any representation concerning the accuracy, completeness, quality, adequacy or content of any information on this web site, including any information and materials on any third party web sites linked to this web site.

6. Links and Software Please be advised that links to other web sites or references on this web site to products, services, information or publications other than those of Dominick do not constitute express or implied endorsement, sponsorship, affiliation or approval of such web site, products, services, information or publications. Dominick cannot and does not make any representations, warranties or conditions regarding such third party web sites or their content and Dominick disclaims any opinions expressed on any such web sites. You agree that you will not hold Dominick or its affiliates liable for any losses or damages you may incur caused by your use of, or reliance on, any content, products or services made available to you through any such third-party web site. Linking to any other web site is at your sole risk. Use of any software downloaded through this web site and/or links on this web site is subject to any license agreements applicable to such software.

7. No Liability Neither Dominick nor its affiliates nor its or their directors, officers, employees, agents, representatives, [licensors] or suppliers shall in any event be liable to you or to any third party for damages of any kind, including without limitation, lost profits, lost savings, lost revenues, lost business opportunities or lost business advantages, personal injury, direct, indirect, special, punitive, consequential, or incidental losses, damages or expenses directly or indirectly relating to the use or misuse of this web site, or any other hyperlinked web site, or any Dominick information, content or other material or software used therewith, the use or failure, non-compliance or limited availability of any information, content, or service provided by Dominick through this web site, or any obligation under or subject matter of this web site, whether such claim is based upon breach of contract, breach of warranty, negligence, gross negligence, strict liability in tort or any other legal or equitable theory of relief, or whether or not Dominick is informed in advance of the possibility of such damages. In any case, to the maximum extent permitted by applicable law, the entire liability of Dominick and its affiliates and its and their directors, officers, employees, agents, representatives, [licensors] and suppliers arising in any manner under or in connection with the web site shall be limited to $1.00. Some jurisdictions do not allow the exclusion of certain warranties, representations and conditions or the limitation or exclusion of liability for incidental or consequential damages. Accordingly, some of the above limitations contained in this section may not apply to you.

8. Consent By accessing and using this web site or our services, or by purchasing our products, you are consenting to the collection, use and disclosure of your personal information in accordance with Dominick’s Privacy Policy, which can be accessed here.

9. Confidentiality Please note that the Internet is not a secure medium of communication. As such, Dominick cannot guarantee the privacy of any information (including personal information) you input on this web site, send to us, or request be delivered to you on the Internet. Accordingly, we will not be held responsible for any damages you or others may suffer as a result of the loss of confidentiality of any such information. However, any personal information we collect from you over the Internet or otherwise will be collected and protected in accordance with our Privacy Policy and applicable laws.

10.5. Damage Dominick assumes no responsibility and shall not be liable for any damages to, or viruses that may infect, your computer equipment or other property on account of your access to, use of, or browsing on this web site or your downloading of any materials, data text or images from this web site or from third party web sites linked on this web site.

11. Right of Indemnification You agree to defend, indemnify and hold Dominick and its affiliates and its and their employees, directors, officers, agents, representatives, [licensors] and suppliers harmless from any and all liabilities, costs claims, damages and expenses, including reasonable fees, arising out of or related to any violation of these Terms and Conditions by you, or in connection with your use of this web site or with the placement or transmission of any message or information on this web site by you.

12. Use of Information You hereby agree that you shall not use any information contained in this web site or in the links to this web site in any claims, proceedings, suits or actions against Dominick, its affiliates and its and their employees, directors, officers, agents, representatives, [licensors] and suppliers.

13. Waiver Dominick’s failure to insist upon or enforce strict performance of any provision of these Terms and Conditions shall not be construed as a waiver of any provision or rights contained in these Terms and Conditions.

14. Governing Laws These Terms and Conditions shall be governed by the laws of the province of Ontario and the federal laws of Canada applicable therein, and you agree to be bound by the laws of these jurisdictions. If any part(s) of these Terms and Conditions is held to be invalid, the remaining parts will continue to be valid and enforceable.

15. Language The parties hereto have agreed that these Terms and Conditions and any of their accessories, including notice, be written in the English language. Les parties aux présentes ont exigé que ce contrat et ses accessoires, y compris tout avis, soient rédigés en anglais. You acknowledge and agree that the web site and its content is proprietary to Dominick [and its licensors] and is protected by copyright and other applicable intellectual property laws. You acquire absolutely no rights or licenses to the web site or its content other than the limited right to access and use the web site in accordance with these Terms and Conditions. While certain trademarks of third parties may be used by Dominick under license, the display of third party trademarks on the web site should not be taken to imply any relationship or license between Dominick and such third party or to imply that Dominick endorses the wares, services or business of such third party. Nothing in these Terms and Conditions shall be construed as a license to use any trade-mark, trade-name, design mark, logo, emblem or other distinctive mark, whether registered or not, of Dominick or its licensors (collectively, the “Marks”) and you acknowledge that you acquire no right, title or interest in or to any of the Marks and you shall not in any manner represent that you have any ownership interest in the Marks or dispute or contest for any reason whatsoever, directly or indirectly, the validity of the ownership of the Marks, nor directly or indirectly attempt to dilute the value of the goodwill attached to the Marks, nor counsel anyone to do any of the foregoing. You will not remove or change any trade-mark, copyright or other intellectual property notices contained on the web site or any of the content. Notwithstanding the foregoing, and subject to the terms and conditions of these Terms and Conditions, you are granted a limited, non-transferable and non-exclusive license to access, view and use the web site and the content for your personal, non-commercial use, and are granted the right to download, store and print single copies of items comprising the content for your personal, non-commercial use, provided that you maintain all copyright and other notices contained in such content. If you violate any provision of these Terms and Conditions, your permission to use the content automatically terminates and you must immediately destroy any copies you have made of any content. All information and content on this web site are subject to applicable statutes and regulations, furnished “as is,” without warranty or condition of any kind, express, implied or statutory, including but not limited to implied warranties or conditions of merchantability, fitness for a particular purpose, or non-infringement. Dominick does not warrant that any information, content or other material will meet your requirements, that the operation of any Dominick service, database, material or other product or any third party services, programs, systems or data used with or through or provided by Dominick, or any part thereof, will be uninterrupted or error free or virus free or that any defects in such information, services, systems, databases or materials will be or can be corrected. In no event shall Dominick or its affiliates have any liability to you (including liability to any person or persons whose claim or claims are based on or derived from a right or rights claimed by you) with respect to any and all claims at any and all times arising from or related to the subject matter of this web site, whether based on warranty, contract, tort, negligence, strict liability or otherwise. Some jurisdictions may not allow the exclusion of implied warranties or conditions, so some of the above exclusions may not apply to you.
Business Continuity Plan
I. Governance and Funding

Our firm’s Business Continuity Plan “BCP” Officer is:

Patrick Lilly, CCO

Telephone:

(B) 416.369.6929

(M) 647.880.2768

Email: plilly@dominick.ca

II. Firm Policy

Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, by making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities.

A. Significant Business Disruption (SBDs)

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as fire in our building.

External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, or a wide-scale regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our carrying broker, Laurentian Bank Securities.

B. Staff Awareness

We are ensuring that all personnel are continually aware of their responsibilities and know how to remain in contact and what to do in the event of a crisis. The BCP Officer has responsibility for the staff awareness plan.

Our firm will maintain copies of our BCP plan and the annual reviews, and the changes that have been made to it for inspection. An electronic copy is located on a disk and held in an offsite safety box.

III. Business Description

Our firm conducts business in equity, fixed income, and derivatives. Our firm is an Introducing Firm and does not perform any type of clearing function for itself or others. Furthermore, we do not hold customer funds or securities. We accept and enter orders. The orders can be executed either with our Carrying Broker or on Dominick Capital Corporation’s trading terminals. If the orders are executed on Dominick Capital Corporation’s trading terminals, the executed transactions are forwarded electronically to our Carrying Broker for processing to our client and inventory accounts. All transactions are sent to our carrying broker (includes transactions executed directly by the Carrying Broker), who compares them, clears and settles them. Our Carrying Broker also maintains our customers’ accounts, can grant customers access to them, and deliver funds and securities. Our firm services retail, institutional customers and has security inventory accounts.

Our Carrying Broker is Laurentian Bank Securities, Laurentian Bank Tower, suite 100, 1981 McGill College, Montréal, Québec, H3A 3K3.

IV. Office Locations

Our firm has only the Head Office location.

1. Head Office Location

Our Head Office is located at 133 Richmond Street West, Suite 602, Toronto, Ontario, M5H 2L3. The main telephone number is 416-363-0201. We engage in order taking and entry at this location.

V. Alternative Physical Location(s) of Employees

In the event of an SDB, our staff will be notified by the BCP Officer (and his/her appointed team) of the SBD and that they will work from home until further notification.

VI. Customer Access to Funds and Securities

Our firm does not maintain custody of customers’ funds or securities, which are maintained by our carrying broker, Laurentian Bank Securities. In the event of an internal or external SDB, if telephone service is available, our registered persons will take customer orders or instructions and contact our carrying broker on their behalf.

If the main telephone service is not available, an emergency telephone number is available on our web page. The emergency number will give an automated message to any caller that employees of the firm can be contacted at an alternative telephone number. The internet address for Dominick Capital Corporation is www.dndsecurities.ca. The emergency telephone number is 416-999-3730.

The firm will make this information available to customers through its disclosure policy which is disclosed on our client monthly statements.

VII. Data Back-Up and Recovery (Hard Copy and Electronic)

Our firm maintains its primary hard copy books and records and its electronic records at 133 Richmond Street West, Suite 602, Toronto, Ontario, M5H 2L3. The CFO is responsible for the maintenance of these books and records. Our firm maintains the following types and forms that are not transmitted to our carrying broker:

• Account Opening Documents

• Trading Blotters

• Trade Tickets

• Monthly Statements and Client Contracts

• Registration Documentation

• Accounting Records (General Ledger, Account Payable, Payroll)

Our firm maintains its backup hard copy books and records at:

• Account Opening Documents are on a flash drive that is kept in an offsite safety deposit box.

• Trading blotters and trade tickets are maintained in hard copy at Brambles. Electronic copies of Trading blotters are maintained by Frontline.

• Monthly Statements and Client Contracts are maintained on CD-ROM in an offsite safety deposit box.

• Registration Documentation is maintained on a flash drive that is kept in an offsite safety deposit box.

• General Ledger records are maintained in hard copy at Brambles and electronically (daily) by Frontline Technologies Inc.

• Accounts payable and payroll records are maintained in hard copy at Brambles and electronically by Frontline Technologies Inc.

The firm’s records that are held by Frontline are automatically backed up daily and a message notifies the firm that the back-up has been successful.

General Ledger records are backed up daily.

Account Opening Documentation is backed up monthly.

Registration Documentation is backed up when changes are made.

In the event of an internal or external SBD that causes the loss of our paper records, we will physically recover them from our back-up site. If our primary site is inoperable, we will continue operations from an alternative location. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up site, or, if our primary site is inoperable, continue operations from an alternative location.

VIII. Financial and Operational Assessments

A. Operational Risk

In the event of an SDB, we will immediately identify what means will permit us to communicate with our customers, employees, critical business constituents, critical banks, critical counter-parties, and regulators. Although the effects of an SDB will determine the means of alternative communication, the communication options we will employ will include telephone voice mail, secure e-mail and cell phones. In addition, we will retrieve our key activity records as described in the section above, Data Back-Up and Recovery (Hard Copy and Electronic).

B. Financial and Credit Risk

In the event of an SBD, we will determine the value and liquidity of our investments and other assets to evaluate our ability to continue to fund our operations and remain in capital compliance. We will contact IIROC to apprise them of our financial status. If we determine that we may be unable to meet our obligations to our counter-parties or otherwise continue to fund our operations, we will request additional financing to fulfill our obligations to our customers and clients. If we cannot remedy a capital deficiency, we will file appropriate notices with IIROC and immediately take appropriate steps, including reducing our inventory positions.

IX. Mission Critical Systems

Our firm’s “mission critical systems” are those that ensure prompt and accurate processing of securities transactions, including order taking, order entry, execution, allocation, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities. More specifically, these systems include:

We have prime responsibility for establishing and maintaining our business relationships with our customers and have sole responsibility for our mission critical functions of order taking, entry and execution (which can also be performed by Laurentian Bank Securities). Our carrying broker provides the execution (if required), clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities.

Our carrying broker represents that it backs up at a remote site. Our carrying broker represents that it operates a back –up operating facility in a geographically separate area with the capability to conduct the same volume of business as its primary site. Our carrying broker has also confirmed the effectiveness of its back-up arrangements to recover from a wide scale disruption by testing.

Recovery-time objectives provide concrete goals to plan and test against. They are not, however, hard and fast deadlines that must be met in every emergency situation, and various external factors surrounding a disruption, such as time of day, scope of disruption, and status of critical infrastructure-particularly telecommunications-can affect actual recovery times. Recovery refers to the restoration of clearing and settlement activities after a wide-scale disruption; resumption refers to the capability to accept and process new transactions and payments after a wide-scale disruption. Our carrying broker has the following SBD recovery time and resumption objectives: recovery time periods: Click here for bulletin BCP Bylaw 17.19 dated September 1, 2007.

A. Our Firm’s Mission Critical Systems

I. Order Taking

Currently, our firm receives orders from customers via the telephone and in person visits by the customer. During an SBD, either internal or external, we will continue to take orders via the telephone. We will inform our customers what alternatives they have to inform us of their orders. Customers will be informed of the alternatives by hearing a message when they contact us on our emergency telephone number, available on our web site. The customers will be directed to an alternative telephone number to place their orders or for any account information they require.

II. Order Entry

Currently, our firm enters orders by recording them on paper and electronically sending them to:

a. Canadian trades are entered on exchanges electronically.

b. US trades are entered electronically to our carrying broker.

In the event of an internal SBD, we would send all orders to our carrying broker by the fastest means available, which include telephone or e-mail.

In the event of an external SBD, we will maintain the order in electronic or paper format, and deliver the order to our carrying broker by the fastest alternative means available when it resumes operations. In addition, during an internal SBD, we may need to refer our customers to deal directly with our carrying broker for order entry.

III. Order Execution

We currently execute Canadian trades through IRESS and/or Belzberg Trader workstations. The IRESS/Belzberg environment provides traders with the ability to access their workstations from an offsite location as long as they can access the internet.

In the event of an internal SBD, we will deliver the orders to our carrying broker for execution either by telephone, cellular phone or e-mail depending on what system has failed.

In the event of an external SBD that prevents our staff from accessing our premises, sales staff will communicate with their clients by any means that is available to them. Any security transactions their clients wish to transact will be filtered to a designated supervisory employee of the firm. That individual will relay the transaction either to a designated offsite trader or our carrying broker.

B. Mission Critical Systems Provided by our Carrying Broker

Our firm relies, by contract, on our carrying broker to provide order execution (US , listed and unlisted, options, foreign), order comparison, order allocation, and the maintenance of customer accounts, delivery of fund (funding of customer and inventory accounts) and securities, and access to customer accounts.

X. Communication With Customers, Employees, and Regulators

We now communicate with our customers using the telephone, e-mail, fax, mail, and in person visits at our firm. In the event of an SBD, we will assess whichever means of communication that are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. For example, if we have communicated with the other party by e-mail but the internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the mail.

We have informed our customers to contact our emergency telephone number (available on our web site and monthly statements) in case of a significant business disruption at our firm and the possibility that customers were unable to reach us using the main telephone numbers. The emergency telephone number will have a message with instructions for the clients.

C. Employees

We now communicate with our employees using the telephone, e-mail, and in person. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party. We will also employ a call tree so that senior management can reach all employees quickly during an SBD. The call tree includes all staff home, cell, and office numbers. We have identified persons, noted below, who live near each other and may reach each other in person:

The person to invoke the use of the call tree is: Patrick Lilly

CALLER CALL RECIPIENTS

(Note: This table has been omitted from the Web version of this document to protect the privacy of our employees)

D. Regulators

We are currently members of the Investment Industry Regulatory Organization of Canada. We communicate with our regulators using the telephone, e-mail, fax, mail, and in person. In the event of an SBD, we will assess which means of communication are still available to us, and use the means closet in speed and form (written or oral) to the means that we have used in the past to communicate with the other party.

XI. External Dependencies

We have contacted our critical service providers (businesses with which we have an ongoing commercial relationship in support of our operating activities, such as vendors providing us critical services), and determined the extent to which we can continue our business relationship with them in light of the internal or external SBD. We will quickly establish alternative arrangements if a business constituent can no longer provide the needed goods or services when we need them because of a SBD to them or our firm. Our major suppliers are:

Carrying Broker – Laurentian Bank Securities – see contact list attached

Trading Terminals – maintained by Iress Market Technologies – 416-620-1614

Telephony, E-mail and internet access is provided by Invictus Technologies Inc.

Our carrying broker funds our client accounts. In addition the carrying broker holds and funds our inventories (including Treasury Bills), and holds the majority of our cash. The firm basically operates an impress bank account on the firm’s general ledger for the payment of salaries and expenses. The impress bank account is funded from the firm’s cash held by our carrying broker.

We have contacted our critical counter-parties, such as other broker-dealers or institutional customers, to determine if we will be able to carry out our transactions with them in light of the internal or external SBD. Where the transactions cannot be completed, we will work with our carrying broker or contact those counter-parties directly to make alternative arrangements to complete those transactions as soon as possible.

XII. Regulatory Reporting

Our firm is subject to IIROC regulation. We now file reports with IIROC using internet/SIRFF, paper copies in the mail and electronically using fax or e-mail. In the event of an SBD, we will check with IIROC and any other regulators to determine which means of filing are still available to us, and use the means closest in speed and form (written or oral) to our previous filing method. In the event that we cannot contact our regulators, we will continue to file required reports using the communication means available to us.

Our principal regulator contact at the Investment Industry Regulatory Organization of Canada (“IIROC”), is Mr. Dennis Dirksen, Manager, Financial Compliance, and he can be reached at 416.943.6973 (Telephone), 416.364.4878 (Facsimile), or at ddirksen@iiroc.ca (E-mail).

XIII. Updates and Annual Review

Our firm will update this plan whenever we have a material change to our operations, structure, business or location or to those of our carrying broker. In addition, our firm will review this BCP annually to modify it for any changes in our operations, structure, business, or location or those of our carrying broker. In addition to the annual review, the plan will also be tested annually at this time.

XIV. Testing of BCP

The BCP was distributed to all employees. Several calls were made to the emergency telephone number and the calling tree was initiated on a test basis. Calls were made to Laurentian’s trading department. and credit department. No major problems were encountered in the test. The test was conducted in August 2013.

XV. Senior Management Approval

I have approved this Business Continuity Plan as reasonably designed to enable our firm to meet its obligations to customers in the event of an SBD.

Signed: Patrick Lilly

Title: CCO

Date: December 2, 2013
National Instrument 24-101
Institutional Matching and Settlement

Trade Matching Statement

To: All trade-matching parties providing trade orders to, acting on behalf of, or executing a trade with:

Dominick Capital Corporation

This trade matching statement is provided in accordance with Nation Instrument 24-101 – Institutional trade Matching and Settlement and Companion Policy 24-101CP.

It applies to trades that are subject to the national instrument.

Dominick Capital Corporation confirms that we have established, maintain and enforce policies and procedures designed to achieve matching in accordance with the National Instrument.

Dominick Capital Corporation

2013-11-25

Patrick Lilly

CCO
IIROC Links
An Investor’s Guide to Making a Complaint http://www.iiroc.ca/investors/makingacomplaint/Documents/InvestorProtectionBrochure_en.pdf

The Ombudsman for Banking Services and Investments (OBSI) http://www.obsi.ca/images/Documents/Brochures/FCM/EN/for_consumers__getting_help_with_your_complaint_en_may_2011.pdf

Why IIROC Matters to You, the Investor http://www.iiroc.ca/industry/continuingeducationmember/Documents/WhyMatterBrochure_en.pdf

Opening Your Retail Account http://www.iiroc.ca/industry/continuingeducationmember/Documents/RetailAccountBrochure_en.pdf

Strip Bond Information Statement Brochures http://www.iiroc.ca/industry/continuingeducationmember/Documents/StripBondBrochures_en.pdf
Multiple Marketplaces & Best Execution Policy
Orders on Toronto Stock Exchange (“TSX”) listed securities may be executed on the TSX, a number of alternative Canadian electronic marketplaces, or on a foreign organized regulated market. Orders on TSX Venture Exchange securities may be executed on the TSX-V, a number of alternative Canadian electronic marketplaces, or on a foreign organized regulated market. For the purpose of this policy, TSX references will include the TSX-V policies where applicable. Dominick Capital Corporation is committed to use all reasonable efforts to ensure that our clients achieve “best execution” of their orders for securities that are quoted or traded on all marketplaces. This means that Dominick Capital Corporation will diligently pursue the execution of each client order on the most advantageous execution terms reasonably available under the circumstances. More specifically it means that Dominick Capital Corporation will take into consideration a number of general factors including but not limited to: a) the price at which the trade would occur; b) the speed of execution; c) the certainty of execution; and, d) the overall cost of the transaction. The following policies and procedures are intended to govern Dominick Capital Corporation trading on multiple marketplaces and may affect the manner in which client trades are conducted: Default Marketplace Unless notified otherwise by Dominick Capital Corporation, the Default Marketplace for all securities listed on the TSX, whether or not the security is trading on other alternate marketplaces, will be the TSX. The TSX operates between 9:30 am EST and 4:00 pm EST, Monday through Friday, not including statutory holidays in Ontario. All references to time in this document are references to Eastern Standard Time (including Eastern Daylight Savings Time). Hours of Operation for Trading in Listed Canadian Securities Dominick Capital Corporation Investment Advisors, trading staff and systems will be available for order execution during Default Marketplace hours. Staff may be available outside of Default Marketplace hours; however, Dominick Capital Corporation will not guarantee the ability to take client orders and/or effect trade execution outside of the hours of 9:30 am to 4:00 pm EST. Standard Order Routing Conditions All orders received for TSX listed securities will be routed to either the Default Marketplace or alternative marketplaces as follows: An order received prior to Default Marketplace opening (9:30 am EST) will be entered on the Default Marketplace for execution on the opening. Orders received prior to the Default Marketplace opening will not route to an alternative marketplace; An order received after the Default Marketplace close (4:00 pm EST) will be entered to the pre-opening of the Default Marketplace on the following business day. Orders received after the Default Marketplace close will not route to an alternative marketplace; An order received during the Default Marketplace operating hours will be entered into the best market at the time of entry. The “best market” is the marketplace with the best bid (buy price) or ask (sell price) or where Dominick Capital Corporation feels the order has the highest probability of being executed. This may be any marketplace that Dominick Capital Corporation has access to and/or can access for the purpose of best execution; Any portion of an order that cannot be immediately filled will be entered on the Default Marketplace and will remain in the Default Marketplace order book until the order is filled, expired, changed or cancelled; and Changes to an outstanding order, or portion of an outstanding order, will be handled the same as a new order received and will be treated according to routing conditions (c) and (d) above. In other words, it will be entered into the “best market” at the time of the change and then the unfilled balance will be entered on the Default Marketplace and will remain in the Default Marketplace order book until the order is filled, expired, changed or cancelled. Order Execution Certain types of orders have specific handling implications in a multiple marketplace environment as follows:

Day Orders A Day Order is an order to trade that expires if it is not executed the day that it is booked to the marketplace. Day Orders will be handled in accordance with the “Standard Order Routing Conditions”. All Day Orders expire, if not filled in full, upon the close of the marketplace where the last portion of the order remains effective, unless otherwise agreed to between the client and the Investment Advisor.

Good Til Cancelled (Open) Orders Open orders are orders that will remain valid until a specified date of expiry. These orders will be entered in the Default Marketplace if they are not immediately executable on an alternative marketplace at the time of entry. The order will remain in the Default Marketplace until executed or expiry, whichever comes first.

Market Orders A Market Order is an order to buy or sell a security at whatever prices are available in the marketplace to help ensure a complete and full fill. Upon entry to the marketplace, these orders require immediate completion. Market Orders will be handled in accordance with the “Standard Order Routing Conditions”. These orders will expire, if not filled in full, on the marketplace where the last portion of the order remains live, at the close of the marketplace.

Limit Orders A Limit Order is an order for a security at a specific minimum sale price or maximum purchase price that is not to be exceeded. Limit Orders will be handled in accordance with the “Standard Order Routing Conditions”. The order will expire, if not filled in full, upon the close of the marketplace where the last portion of the order remains live.

Special Terms Orders Special Terms Orders are orders with specific terms that are not executable in the regular marketplace. Special Terms Orders will be executed by Dominick Capital Corporation’s trading desk and will only be entered to the Special Terms Market of the Default Marketplace, unless they are immediately executable on an alternative marketplace at the time of entry. Special Terms Orders will expire at the close of the Default Marketplace.

Stop Loss Orders Stop Loss Orders are orders that become limit orders when a standard trading unit is traded at, or superior to, the stop loss price on the marketplace in which the order has been booked. These orders will only be entered in the Default Marketplace order book, and will remain there until they order is executed or expires, whichever comes first. Foreign Organized Regulated Marketplaces Under certain circumstances, Dominick Capital Corporation may make a determination that, in order to achieve best execution, all or part of a client order must be transacted on a foreign organized regulated marketplace. In making this determination, Dominick Capital Corporation may consider factors including but not limited to: a) the available liquidity displayed on a marketplace relative to the size of the client order; b) the extent of trading in the particular security on the foreign organized regulated marketplace; and, c) the extent of exposure to settlement risk or fluctuations in foreign currency exchange. Extenuating Circumstances In the event of technical or other issues that limit Dominick Capital Corporation’s access to specific marketplaces, or limit access to routing automation, orders received will be directed to either the Default Marketplace or an alternative marketplace as circumstances warrant and as determined at the sole discretion of Dominick Capital Corporation.. Disclosure of Marketplace An order executed on one or more marketplace or alternative marketplace will generally be reported to the client on the confirmation slip with the trailer “EXE ON MULT MKTS – DETAIL ON REQ”. Clients wishing to ascertain trade details may contact their trader or RR for Multiple Marketplace queries as they do for Average Price breakdowns. Amendments Changes to this policy may be made from time-to-time at the sole discretion of Dominick Capital Corporation. Changes will be posted to Dominick Capital Corporation’s website www.dominick.ca. If you any questions or concerns regarding these policies, please contact your Investment Advisor.
Conflicts of Interest
General Description c Actual, potential and perceived conflicts of interest exist in almost all human interactions. Our relationship with you is no different. For instance, Dominick Capital Corporation (“Dominick”) is a “for profit” business and has a responsibility to maximize economic returns for our shareholders. As well, Dominick has various other stakeholders, all of whom rely on Dominick to operate profitably in order to honour the interests of those stakeholders and pursuant to securities industry financial compliance regulations. We believe the best way to achieve our goals is to provide you with trusted advice and personalized financial solutions that help you achieve your financial goals. Our objective is to serve your financial goals, which is our best way to retain your continued patronage and, in turn encourage you to recommend our services and products to others.

We have prepared these summaries as part of our commitment to conflict of interest management practices, and also to help you better understand conflict issues that may arise. In addition to our objective to serve your financial goals in alignment with our business interests, Canada has comprehensive and extensive securities regulatory rules and regulations, many of which are directed at protecting client and investor interests, including dealing with conflicts of interest. We suggest that you refer to the websites and publications of the provincial securities commissions through the Canadian Securities Administrators (“CSA”) and Investment Industry Regulatory Organization of Canada (“IIROC”) for more information on how Canadian securities regulations address conflicts of interest in order to safeguard the investing public.

Description of Member Firm Dominick is what is referred to as an “introducing broker” (“IB”) investment firm. Our client accounts are held in a custody arrangement with our “carrying broker” (“CB”), Laurentian Bank Securities (“LBS”). All investments shown on our/your client statements are held by LBS in segregation from the accounts of other brokerage firms. LBS executes, settles, and reports all your trade activity to you and provides Dominick (and consequentially to you) with a contractual indemnity assuring you that the investments shown on your statements are held by them as custodian. If, under any circumstance, any trade activity for your account is not reported on a trade confirmation and your monthly statement, immediately report such omission to Dominick Head Office Compliance since such an event is a violation of our operating policies and procedures. We provide a broad range of service in corporate finance, investment banking, and retail client services and products. We recognize that by definition some of these activities are more susceptible to conflicts of interest than many other commercial activities since we may periodically represent both sides of a transaction, namely, the buyer and the seller. As an IB we will have fewer cases of such conflicts of interest than an “integrated” firm. Nonetheless, conflicts of interest may still arise despite the intentions of our strategic planning to limit them.You can learn more about our firm at www.dominick.ca

The general types of conflicts of interest which can arise are:

Conflicts of interest between you and us, Conflicts of interest between you and our other clients, and Conflicts of interest between us and our related and associated companies.

Description of Role of an Investment Dealer As an investment dealer, we are a financial intermediary. It is common practice in the brokerage industry that sometimes we may be the party on the other side of the transaction (referred to as a “principal” trade) where we own the security we sell to you, or buy the security from you for our own account. However, as an IB our business model is to act primarily as an agent. We simply facilitate transactions between you as our client and a third party on the other side of the transaction. Through such an “agency” trade we have no ownership interest in the security traded. This financial intermediary role for our retail clients is one of Dominick’s business lines.

To a greater extent we offer corporate finance services to advise an issuer of securities on how to best raise funds by selling securities, while contemporaneously recommending that our clients buy those same securities. In such issuer advisory service arrangements, we offer our services to the issuer on a “best efforts basis” where we do not guarantee the issuer that we will sell any amount of such securities to our clients.

Management of Conflicts of Interest In general, we deal with and manage relevant conflicts as follows:

Avoidance: This includes avoiding conflicts that are prohibited by law as well as conflicts that cannot effectively be addressed. Control: We manage acceptable conflicts through means such as physically separating different business functions and restricting the internal exchange of information. Disclosure: By providing you with information about conflicts, you are able to assess independently their significance when evaluating our recommendations and any actions you and we may agree to take. The following information is intended to assist you in understanding and assessing material potential and actual conflicts of interest, including how we address them. This is an overview of a complex subject. Despite that, we believe the simplest control is the most effective — your continued satisfaction and patronage. If you ever have any questions or concerns, whether they involve conflicts of interest or any other matter, do not hesitate to say so and ask your Advisor for an explanation and more information. If you are not satisfied with the response you receive contact Dominick Compliance at our Head Office.

More Information You are encouraged to proactively involve yourself to better understand issues relating to conflicts of interest. As previously recommended in this document, refer to the websites and publications of the provincial securities commissions through the Canadian Securities Administrators (CSA) and Investment Industry Regulatory Organization of Canada (IIROC) for more information on how Canadian securities regulations address conflicts of interest to safeguard the investing public.

We document our core values, mission statement and standards, including general standards for how we deal with conflicts of interest in our internal policies and procedures. You should refer to the Dominick Statement of Policies that appears on the New Account Application (“NAA”), which alternatively is often referred to as a New Client Application Form (“NCAF”); and our Statement of Policies which appears on our website at www.dominick.ca . You can also obtain a copy of any of these documents from your Advisor on request.
Fee Transparency Statement
Fees paid by Dominick Capital Corporation (“Dominick”) clients come in the form of: (i) fees and commissions for advice and service, (ii) commissions for order execution and (iii) fees for administration. Fees for administration are disclosed on the Dominick “Fee Schedule” which is given to the client as part of opening the account and is mailed to clients at least 60 days prior to any changes. These fees are generally related to expenses charged by third parties for services delivered to Dominick clients. Dominick rebills these expenses with an administration surcharge. Dominick, and/or any employee of Dominick, make no representation and/or warranty in respect of the tax treatment of fees and commissions. We strongly recommend each client seek independent tax advice regarding how respective fees may impact their tax situation.

TYPES OF FEES FOR FULL SERVICE ACCOUNTS Fees for full service accounts fall into three categories: (i) transactional commissions, (ii) embedded fees and commissions, and (iii) fee based accounts fees.

Transactional Commissions These are the most transparent fees for advice, service and order execution. Clients receive trade confirmations for every transaction. These confirmations show the amount of commission charged.

Embedded Commissions and Fees These fees and commissions do not appear on trade confirmations and they are the least transparent method of payment. The most common of these are Deferred Sales Commissions (“DSC”) on mutual funds and Annual Service Fees on mutual funds. These fees and commissions are fully disclosed to clients in each mutual fund prospectus and are further disclosed as part of each mutual fund’s Management Expense Ratio (“MER”). A comparison of an F Series versus DSC Series for the same mutual fund quantifies the embedded amount of fees and commissions. If you need assistance in determining this amount, your Investment Advisor (“IA”) will be pleased to assist you. In addition to DSC and Service Fees, New Issues and Principal Trades have embedded commissions. Dominick does conduct Principal Trading as part of its business model. Where such a trade might occur, you will be notified via your trade confirmation with the message “PRINCIPAL”. If such an event occurs, please speak with your IA to determine the embedded cost. When you buy certain fixed income products, our Carrying Broker, Laurentian Bank Securities (“LBS”), may act as principal. Dominick does not share in any price mark-up charged by LBS. Embedded New Issue commissions are disclosed in each new issue prospectus. If you are unable to determine the amount of commission disclosed in the prospectus, please speak with you IA.
Relationship Disclosure
Relationship Disclosure

This document outlines the expectations, responsibilities and obligations between Dominick Capital Corporation (“Dominick”, “we” or “the firm”), its employees including its Advisors (“your Advisor”), and you, the Client. This document will be a guide in our relationship with you.

Information We Need From You

This section sets out the basic information requirements for the initial application and ongoing maintenance of your account. We may require additional information from you, depending on the type of account and the services you request.

To open an account, you and your advisor will complete a New Account Application Form. You will be asked to review the form and sign it attesting that you agree with the information on the form, and to the terms and conditions set out in this Relationship Disclosure document. We are required by industry rules and other laws to gather certain information about you. We may be unable to open an account for you if you are unwilling to provide this information.

Identity Verification

Dominick is required to verify the identity of its clients according to federal law. To do that, we need to see certain forms of original and unexpired documents. The documents we accept are:

Passport Driver’s License Citizenship card

Photocopies or notarized copies of these documents are not acceptable. This generally means you will have to present one of these documents in person with your advisor, or another representative of our firm.

Suitability of Investments

Most investment firms are required to determine the suitability of each proposed transaction in your account. This applies when we make recommendations to you, and also when you make investment decisions without any advice from us, or against our advice.

To determine suitability, we need to fully understand your financial situation, investment needs, investment objectives, investing experience and tolerance for risk. These can only be assessed by collecting from you accurate information about your personal and financial circumstances. This industry requirement stems from the Know-Your-Client rule (KYC) which is one of the cornerstones of securities regulation. To comply with the Know-Your-Client rule, you will be asked to provide us with certain information, and you are responsible for advising us of any changes to this information, such as:

marital status age occupation income and net worth number of dependents risk tolerance investment objectives Time horizon investment knowledge and experience

Collection of data on the New Account Application Form, at the time of account opening or updating an account, assists us in determining whether certain investments are suitable for you given the information you have given us.

Dominick’s regulatory responsibility and commitment to you is that we will exercise reasonable care to determine that our recommendations to buy, sell or hold securities in your account are suitable for you and consistent with your investment objectives and risk tolerances as set out on your New Account Application Form. We will supervise the suitability of your trading activity and account holdings in accordance with our supervisory policies and procedures. While we undertake to use our reasonable best efforts in making recommendations that are suitable for you, we do not and will not guarantee their performance in any way. You acknowledge that the value of securities held in your account will fluctuate with market conditions, which are beyond our control, and we are not responsible for your market losses. However, we do encourage a discussion with your advisor if market fluctuations, or the anticipation of changes in market volatility cause you any concern.

Dominick will assess the suitability of client accounts whenever: a trade is accepted, a recommendation is made, securities are transferred or deposited into the account, there is a change in the registered representative responsible for the account, or there is a material change to the client’s “know your client” (KYC) information

You can monitor your account activity by reviewing the trade confirmations that our carrying broker sends to you the morning after the trade is booked into your account. As well, you can review your account statements which are sent to you by our carrying broker at least quarterly for inactive accounts, and monthly for accounts with activity during the month.

Unsolicited Transactions: If you ask your Advisor to complete a trade that is your idea and not recommended by your Advisor, we are responsible for advising you if we believe the transaction is suitable or not suitable for you, based on your KYC information. In this case the decision to invest is yours and Dominick will have no responsibility for the suitability of the transaction, or assume any liability for losses from the transaction. We will normally, but not always, mark the trade confirmation as “Unsolicited” or add “Client Insistence” in the trailer.

Our Risk Tolerance Definitions

Low Risk: I want to preserve my initial principal in this account, with minimal risk, even if it may not keep pace with inflation.

Medium Risk: I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.

High Risk: I am willing to accept maximum risk to my initial principal to aggressively seek maximum returns, and understand I could lose most, or all, of the money invested

Legal Requirements

You are required to provide us with information to comply with federal legislation, industry regulations, and international agreements. You will not be permitted to conduct any transactions in your account, except for an initial deposit, until you have provided us with this information:

Full Legal Name, Date of Birth Required for the Know-Your-Client rule and to satisfy Anti-Money Laundering regulations.

Social Insurance Number Required for tax reporting purposes.

Verification of Identity Required for Proceeds of Crime (Anti-Money Laundering) and Terrorist Financing Act, the federal legislation designed to prevent the use of the financial system for hiding the proceeds of criminal activity or financing terrorist activity. Provincially issued health cards, credit cards or cheques drawn on credit card accounts are not acceptable as forms of identification.

Home Address Required for Anti-Money Laundering and securities regulations. Your home address is required for a number of reasons, primarily to ensure that the advisor you are working with is registered to practice in your province. Additionally, we are required to mail you trade confirmations and account statements. Please note that a P.O. Box number on its own is not an acceptable address.

Citizenship Required for Tax reporting purposes. It may also be used to determine if you are permitted to purchase certain kinds of securities.

Home, Cellular, Business and Fax Numbers and Email Required for us to contact you with investment advice or to address material changes affecting your investments.

Occupation and Spouse’s Occupation Required for Anti-Money Laundering regulations, as well as for the Know-Your-Client rule. Under securities legislation you must advise if you or your spouse is legally defined as an insider or control person of a publicly traded company, or if you or your spouse is a partner, director, employee, affiliate or associate of an investment dealer.

Politically Exposed Persons Required for Anti-Money Laundering legislation. We will need to know if you, or a member of your immediate family, have ever held a position with a foreign government that qualifies any of you as a “Politically Exposed Person.” Your advisor can provide more information on this, or you may also visit: www.fintrac-canafe.gc.ca.

Third Parties Required for Anti-Money Laundering and securities regulations. We are required to maintain information on third parties who have financial interest or trading authority over your accounts. This includes their names, dates of birth, employment information and relationship to you. We will also need to know whether the third parties are control persons or insiders of a company that issues securities. Anti-Money Laundering legislation further requires that we determine if a trade is being done by, or on behalf of, a third party, in which case we will require the third party’s address and relationship to you.

Source of Funds Required for Securities regulations. To comply with the Know-Your-Client rule, you may be asked to identify the source of funds deposited to your account.

Intended Use Required for Anti-Money Laundering regulations. You are required to declare to us the intended use of your account, such as for income generation or long-term capital appreciation.

Your Signature Required for Anti-Money Laundering regulations, and to ensure you agree with and accept the terms and conditions of holding an account with us.

Information Related to Certain Types of Accounts

Joint Accounts When you open an account in the name of more than one person, Know-Your-Client information is required from everyone named on the account.

Corporate Accounts To open corporate accounts, we are required to identify all individuals who beneficially own, direct or control more than 10% of that corporation, whether directly or indirectly. This involves obtaining the name, address, citizenship, occupation and employer of each beneficial owner and whether he or she is an insider or controlling shareholder of a publicly traded corporation or similar entity. We are also required to verify the identity of those “10% or more” owners. The names and occupations of all directors and a certificate of corporate status are required under Anti- Money Laundering legislation. Corporate resolutions are required as evidence of who is authorized to trade in the account and the identity of these individuals must be verified by your advisor and our firm.

Trust Accounts For trust accounts, IIROC requires us to identify the settlor and all of the individual beneficiaries of more than 10% of the trust, whether direct or indirect. You must provide the name, the address, citizenship, occupation and employer of all “10% or more” individuals and whether any of them is an insider or controlling shareholder of a publicly traded corporation or similar entity. Exceptions can be made for some beneficiaries such as minor children. You must also disclose, and we must verify the identification, of all trustees of the trust. The written trust agreement, or other trust documents, are required for us to ascertain the names of the trustees and any restrictions on the trust.

Other Non-Individual Accounts For entities other than corporations and trusts, the constating documents must be provided to us. IIROC requires that all beneficial owners holding a 10% interest or more in an organization or legal entity be identified in the same manner as corporate or trust accounts.

Other Documents to be Signed

Shareholder Communication Instructions Under securities legislation we are required to obtain your instructions as to whether you wish to receive proxy-related and other security holder materials.

Certain Agreements Under IIROC requirements, additional documentation is required before opening the following accounts or trading in the following products:

joint account margin account discretionary account fee-based account trust account registered account investment club account trading in options

Electronic Delivery of Documents We are required by regulation to obtain your consent by way of signature if you wish to have account-related documents sent to you by email, if we offer this alternative.

Privacy Policy Under federal and/or provincial privacy legislation requirements, you will be asked to acknowledge that you have read and understand our privacy policy statement. This policy sets out how we may collect, use, and disclose your personal information.

We will safeguard your information against disclosure to unauthorized persons or companies, and ensure that the collection, use and disclosure of personal information is compliant with federal privacy legislation. However, we are required to provide information about client accounts and client trading according to certain regulations and laws.

Our Products and Services

Our products

We deal in equities, fixed income, options, money-market instruments, and prospectus issued mutual funds. We may also offer hedge funds and other structured products subject to Dominick’s “Know your product” due diligence review. Dominick is also very active in corporate finance and can source private placements for institutional clients and accredited investors, subject to their suitability profiles. We can also access syndicated or selling group offerings underwritten by other dealers.

Our services

Dominick offers Retail Advisory accounts, The Retail Advisory account relationship is a non-discretionary relationship with you. That means we will provide advice and recommendations on your account from time to time but you are responsible for making the final decision, and providing us with your instructions or consent. Your monitoring of your account on an ongoing basis is very important, and you are required to immediately notify your Advisor of any changes in your KYC information and financial circumstances.

We offer our Retail Advisory account on a commission basis and a fee basis. A commission basis means that when we execute a securities transaction in your account we will charge you a negotiated commission for executing that trade. A fee basis means that when you open your account we will agree on an annual fee that we will charge you for advising you in securities, and for administering your account, and this fee may be in addition to a commission charged per each trade you make.

Our risk tolerance definitions can be found in this document, on your New Account Application Form, and on the KYC Update form.

Investment Performance Benchmark

You may assess the performance of your investments by comparing them to an investment performance benchmark. Benchmarks show the performance over time of a select group of securities. There are many different types of benchmarks. When selecting a benchmark, care must be taken to choose a benchmark that reflects your investments. For example, the S&P/TSX

Composite Index provides a gauge for Canadian based, TSX listed companies that are actively and regularly traded. The S&P/TSX Composite Index would be a good benchmark for assessing performance of a Canadian Equity fund. It would not be an appropriate benchmark if your investments are diversified in other products or countries. Dominick can make available to you a range of benchmarks against which to compare the performance in your account(s).

Dominick does not yet provide any formal performance or percentage return information as part of the account service offering. Currently, both non-registered and registered account statements will reflect all account activity, including the security acquisition cost or disposition cost in the upcoming statement. We are working with our carrying broker to provide you with this information by January 2017. For any concerns, be sure to follow up with your investment advisor or check for updates in our Relationship Disclosure Document.

Fees and Services Fees and service charges will be made according to the Service Charges and Fee schedule provided at account opening to all of our clients, and may be updated from time to time. These fees include the types of charges for buying, selling and holding securities including those paid indirectly to Dominick, as well as the amount of the charge. Commission-based accounts: your account will be charged either a percentage or fixed dollar commission on every purchase or sale of securities. In the case of equities, a commission will be charged. In the case of fixed income, new issues and structured products, these will usually have the commission included in the price you pay or receive. For Mutual Fund products, we may charge a commission, and the Fund may charge you a commission on the purchase or they may defer the charge until you sell your units of the fund. The Fund Manager will normally charge you an annual management fee and will periodically pay Dominick a 'Trailing Fee' (refer to the disclosure documents the mutual fund provides for details or ask us for a copy - not all funds are the same). The purchase of a mutual fund with a deferred sales charge can be triggered upon the redemption of the security if sold within the time-period that a deferred sales charge would apply.

Fee-based accounts: your account will be charged an annual fee that will be applied on a monthly or quarterly basis. This fee may be in addition to a commission charged for each trade you make in your account. You will be asked to sign a Fee-Based Account Agreement at account opening that describes the account fee, and any commission charges, if applicable.

Recommended steps taken by you, the client, to maintain a successful relationship with Dominick.

Carefully and promptly review all documentation provided to you that relates to the operation of the account, account investment recommendations, account investment transactions and account investment holdings. This would include “know your client” information maintained by Dominick for the account; conflicts of interest disclosures; descriptions of all transaction costs and account service fees and charges relating to the account; trade confirmations; and account statements. Provide full and accurate KYC information, including your financial situation, investment objectives, risk tolerance, time horizon and any other information relevant to assisting you in meeting your investment goals. Promptly informing Dominick of any changes to your, the client’s, life circumstances or objectives that may materially affect the accuracy of the “know your client’ information maintained by Dominick for the account. Changes include such thing as a change of address, significant changes in financial situation, employment changes, marital status, retirement plans etc. Promptly inform Dominick of any trade confirmation and account statement errors. Proactively ask questions requesting information about the account. Contact Dominick immediately if you, the client, are unsatisfied with the handling of affairs of the account. Ensure accounts are in good standing and any payment for transactions are made by the settlement date. Ensure that you understand the information contained in this Relationship Disclosure document and ask questions to your advisor for clarification.

We will provide or disclose to you:

A copy of your account documentation and our disclosures with website references At the time of account opening or upon updating your KYC due to material changes, Dominick will document and provide you with a copy of the KYC information that we collected from you. The risks associated with borrowing money to finance the purchase of securities (Leverage Risk Disclosure Statement) IIROC’s “An Investor’s Guide to Making a Complaint” brochure The risks associated with trading in strip bonds (Strip Bond Information Statement) Whether there are service fees The risks associated with trading options Our Carrying Broker disclosure statement If the advisor is an agent rather than an employee of our firm If our firm trades or advises with respect to our own securities or securities of issuers related or connected to Dominick, and a list of those securities (Statement of Policies) Privacy Policy Acknowledgement Whether there are any referral fees associated with your account Our complaint handling procedures and a copy of an IIROC approved complaint handling process brochure.

Conflicts of Interest We review our business on an ongoing basis for material conflicts of interest that may arise between Dominick, its employees, and its clients. In each case, Dominick will attempt to avoid the conflict if that is reasonably possible. Where the conflict cannot be reasonably avoided, we will take steps to mitigate the conflict. In cases where the conflict cannot be avoided, and we determine that the conflict may reasonably affect you as our client then we will disclose the conflict to you so that you may be properly informed.

Statement of Policies Securities laws of certain jurisdictions of Canada require securities dealers and advisors, when they trade in, or advise with respect to, their own securities or securities of certain other issuers to which they, or certain other parties related to them, are related or connected, to do so only in accordance with particular disclosure and other rules. In certain provinces and territories, these rules require dealers and advisors, prior to trading with or advising their customers or clients, to inform them of the relevant relationships and connections with the issuers of the securities. Clients and customers should refer to the applicable provisions of those securities laws for the particulars of these rules and their rights or consult with a legal advisor.

General Under certain circumstances we may deal with or for you in securities transactions where the issuer of the securities or the other party to the transaction is Dominick Inc. or a party having an ownership or business relationship with us. Since these transactions may create a conflict between our interests and yours, we are required by securities laws to disclose to you certain relevant matters relating to the transactions. This Statement contains a general description of the required disclosure.

Important Concepts "Related Issuer" A party is related to us if, through the ownership of or direction or control over voting securities or otherwise, we exercise a controlling influence over that party or that party exercises a controlling influence over us.

"Connected Issuer" A party is connected to us if, due to indebtedness or certain other relationships, a prospective purchaser of securities of the connected party might question our independence from that party.

Required Disclosure We must make certain disclosures where we act as your broker, advise you, or exercise discretion on your behalf with respect to securities issued by us, by a related party or, in the course of an initial distribution, by a connected party. In these situations, we must disclose either our relationship with the issuer of the securities, or that we are the issuer. We must also make a disclosure to you where we know or should know that, as a result of our acting as your broker or advisor, or of our exercising discretion on your behalf, securities will be purchased from or sold to us, an associated party or, in the course of an initial distribution by a connected party.

The following is a list of the time and manner in which these disclosures must be made:

Where we underwrite securities, the required disclosure will be contained in the prospectus or other document being used to qualify those securities. Where we buy or sell securities for your Account, the required disclosure will be contained in the confirmation of trade that we prepare and send to you. Where we advise you with respect to the purchase or sale of securities, the disclosure must be made prior to our giving the advice.

In addition, where we exercise discretion under your authority in the purchase or sale of securities for your Account, we may not exercise that discretion for the types of transactions described above.

We may, from time to time, be deemed to be related or connected to one or more issuers for the purpose of the disclosure and other rules of the securities laws referred to above. We are prepared to act as an advisor, dealer and underwriter in the ordinary course of our business to, and in respect of, any such related or connected issuer and in connection therewith to provide the full range of services customarily provided by us to and in respect of securities of the other issuers. In any such case, such investment dealer and other services shall be carried on by us in the ordinary course of our business as an advisor, dealer or underwriter in accordance with our usual practices and procedures and in accordance with all applicable disclosure and other regulatory requirements.

Dominick Inc. or its directors, officers, partners, salespeople or other employees may, from time to time, recommend that you trade in, or provide to you advice about, a security issued by these listed persons or companies. If you wish further information concerning the relationship between Dominick Inc. and these listed persons or companies, or if you have any questions, please contact our Chief Compliance Officer at (416) 369-6929 or 133 Richmond Street West, Suite 602, Toronto, Ontario M5H 2L3, or email president@dominick.ca

List of Connected Issuers Eguana Tecnologies Inc. (public company): symbol: EGT -TSXV Nautor Progressive Corporation (private company)

Complaint Handling

Dominick has policies and procedures to handle any client complaints both fairly and in a timely manner.

If you are not satisfied with our services, or you have concerns regarding the handling of your account, please speak to your advisor to resolve the service issue. Alternatively, if you are unable to resolve the issue with your advisor then we invite you to contact our Chief Compliance Officer. You may also submit the details of your complaint in writing to:

Dominick Inc.,

Compliance Department

133 Richmond Street West, Suite 602

Toronto, ON M5H 2L3

In order for us to analyse your complaint, please include the following details when you contact us:

Your name, contact information, and account number as well as the particular circumstances and details of your complaint, including the date on which the event took place. All relevant documentation, including details of meetings and/or discussions following those meetings that might clarify the situation.

Within five (5) business days of us receiving your complaint, you will be provided with an acknowledgement letter confirming the name and contact information of the individual handling your file. Additionally, we will also enclose the IIROC brochure entitled “An Investor’s Guide to Making a Complaint” for your reference. Should you have any questions concerning the advancement of the file, we invite you to contact this person directly. We will strive to address your concerns and settle your complaint fairly and quickly.

In conducting the investigation, we may contact you or your authorized agent to request additional information which may be required to resolve the complaint. Within 90 calendar days, you will be provided with our substantive response to your complaint or correspondence from us acknowledging that we may require additional time or information to complete our review.

Our substantive response letter will provide an outline to your complaint and Dominick’s decision on the complaint and the reason for this decision. You will also be provided with additional information regarding your options to escalate your concerns further if you are not satisfied with the outcome of this review. This includes the contact information for the Ombudsman for Banking Services (“OBSI”) and Investments and the Investment Industry Regulatory Organization of Canada (“IIROC”)

For residents of Quebec, we also wish to inform you that if you are dissatisfied with our examination of your complaint or the outcome of this examination, you may request that your complaint file be transferred to the Autorite des marches financiers (“AMF”). To do so, you must wait for our final decision or the expiry of the time limit of 90 days, but this request must be submitted no later than one year after the date you have obtained our final response. Following the transfer of your complaint to the AMF, the latter will proceed with their investigation.

For additional information on the complaint handling process, please see the information and websites below.

Please visit http://www.dominick.ca/disclosures/privacy-policy.html for our disclosures and regulatory brochures.

We also recommend you to become familiar with the information contained in the following IIROC Brochures:

http://www.iiroc.ca/industry/continuingeducationmember/Documents/RetailAccountBrochure_en.pdf http://www.iiroc.ca/industry/continuingeducationmember/Documents/WhyMatterBrochure_en.pdf http://www.iiroc.ca/industry/continuingeducationmember/Documents/InvestorProtectionBrochure_en.pdf http://www.iiroc.ca/investors/makingacomplaint/Pages/default.aspx

From IIROC:

The Investment Industry Regulatory Organization of Canada (IIROC) regulates all investment dealers in Canada. We set high quality regulatory and investment industry standards to protect investors and strengthen market integrity.

IIROC sets and enforces rules regarding: * the business and financial conduct of dealer firms and their registered employees; and * trading activity on all of Canada’s equity marketplaces.

We also set proficiency standards. IIROC can bring disciplinary proceedings which may result in penalties including fines, suspensions and permanent bans or terminations for individuals and firms.

When making a complaint to IIROC or a firm, do so as quickly as possible after the event.

IIROC-regulated firms must comply with IIROC standards for handling client complaints.

For service complaints, IIROC rules require firms to respond in writing to all written complaints.

For complaints that involve possible rule infractions regarding a client’s account, IIROC rules require firms to: Acknowledge your complaint within 5 business days Provide their final decision within 90 calendar days, along with: A summary of your complaint; The results of their investigation; An explanation of their final decision, and Options for seeking compensation available to you, if you are not satisfied with the firm’s response.

If a firm cannot provide a response within 90 days, you must be informed of the delay, the reason for the delay and the expected new response time.

You don’t need to wait until the firm responds to your complaint before filing your complaint with IIROC. You can do so simultaneously or at any time.

IIROC encourages clients to inform us of your complaints. It’s important so we can take regulatory action where rule infractions have occurred.

We can take disciplinary action to address undesirable behaviour by individuals or firms. Actions range from issuing a warning to launching an investigation and bringing a formal proceeding and hearing.

There are two ways to file a complaint with IIROC. Call our Info/Complaint Line, 1 877 442-4322, for inquiries or to have a Customer Complaint Form mailed to you Complete a Customer Online Complaint Form at

Generally, IIROC will notify you to acknowledge receipt of your complaint and will update you after an initial assessment or when a decision has been made whether to proceed with an investigation of a complaint involving a dealer or its registered staff. (In some cases, the entire investigation process must remain confidential until it becomes a matter of public record.)

You may be contacted by an IIROC staff member to provide additional information. If we do not pursue an investigation we may suggest, where possible, other ways of resolving the issue and will keep the information on file for reference.

Have your details ready IIROC can help you best if we receive accurate and complete information, including: • Your name and contact information; • The name and contact information of any individual or firm mentioned in your complaint; • Specific details of how, why and when you encountered problems; and • All the relevant documentation, including any notes of meetings and/or discussions.

Investor options for seeking compensation You can: Consider the free mediation service offered by the Autorité des marchés financiers (AMF) for Québec residents Go to Arbitration Take your case to the Ombudsman for Banking Services and Investments (OBSI) Pursue legal action It’s up to you …

IIROC rules require firms to participate in arbitration or OBSI when the client chooses either of those options.

Arbitration IIROC has designated two independent arbitration organizations for resolution of disputes between Dealer Members and clients.

Arbitrations are conducted by a sole arbitrator. The arbitrator guides the proceedings, reviews the case presented by each party, and arrives at a binding decision. Parties are permitted to retain legal counsel. The arbitrators for this program are empowered to award up to $500,000, plus interest and legal costs.

At the outset in a proceeding, an investor has the option to leave the discretion on awarding legal costs to the arbitrator or to choose to have the two parties pay their own legal costs and not be liable to a ruling that they would have to cover some or all of the other party’s legal costs. It is still possible for the arbitrator to overrule that option and retain the right to award costs if he or she determines that one party has acted in bad faith or in an unfair, vexatious or improper manner, or has unnecessarily prolonged proceedings.

Arbitration fees (administrative fees, disbursements of the arbitration organization and the arbitrator’s fees) are divided equally between the parties unless the arbitrator chooses to reallocate those amounts.

Please contact: ADR Chambers 1 800 856-5154 www.adrchambers.com

Arbitration for clients resident in Québec Please contact: Canadian Commercial Arbitration Centre 1 877 909-3794 www.ccac-adr.org

Ombudsman for Banking Services and Investments (OBSI) OBSI is a free, independent service for resolving investment disputes impartially. You have up to 180 days after receiving your firm’s response to submit your complaint to OBSI. OBSI can recommend compensation of up to $350,000.

1 888 451-4519 ombudsman@obsi.ca or www.obsi.ca

If you decide not to accept OBSI’s recommendation, you can still seek redress through the IIROC arbitration program or the courts.

AMF Mediation Service Québec residents may also consider free mediation services offered by the Autorité des marchés financiers (AMF), Québec’s financial sector regulator.

After having dealt with your firm, you can ask that a copy of your complaint file be transferred to the AMF, who may offer a free mediation service. Participation is voluntary and requires the consent of both the firm and client.

For more information on mediation services: 1 877 525-0337 www.lautorite.qc.ca renseignementsconsommateur@lautorite.qc.ca

Legal Action You also have the option of going to court.

Statute of Limitations You should be aware that there are legal time limits for taking legal action. A lawyer can advise you of your options and recourses. Once the applicable limitation period expires, you may lose rights to pursue some claims.

Keep a file As with all financial matters, it’s important to keep a file. Retain documents such as account application forms, agreements and statements. Document the steps you take to resolve your complaint. Keep copies of letters, faxes, emails and notes of conversations.

Manitoba, New Brunswick and Saskatchewan: Securities regulatory authorities in these provinces have the power to, in appropriate cases, order that a person or company that has contravened securities laws in their provinces pay compensation to a claimant. The claimant is then able to enforce such an order as if it were a judgement of the superior court in that province.

Manitoba Securities Commission: www.msc.gov.mb.ca

New Brunswick Securities Commission: www.nbsc-cvmnb.ca

Saskatchewan Financial Services Commission: www.sfsc.gov.sk.ca

www.iiroc.ca Tel. 1 877 442-4322
Statement of Policies
Securities laws of certain jurisdictions of Canada require securities dealers and advisors, when they trade in, or advise with respect to, their own securities or securities of certain other issuers to which they, or certain other parties related to them, are related or connected, to do so only in accordance with particular disclosure and other rules. In certain provinces and territories, these rules require dealers and advisors, prior to trading with or advising their customers or clients, to inform them of the relevant relationships and connections with the issuers of the securities. Clients and customers should refer to the applicable provisions of those securities laws for the particulars of these rules and their rights or consult with a legal advisor.

General Under certain circumstances we may deal with or for you in securities transactions where the issuer of the securities or the other party to the transaction is Dominick Capital Corporation. or a party having an ownership or business relationship with us. Since these transactions may create a conflict between our interests and yours, we are required by securities laws to disclose to you certain relevant matters relating to the transactions. This Statement contains a general description of the required disclosure.

Important Concepts "Related Issuer" A party is related to us if, through the ownership of or direction or control over voting securities or otherwise, we exercise a controlling influence over that party or that party exercises a controlling influence over us.

"Connected Issuer" A party is connected to us if, due to indebtedness or certain other relationships, a prospective purchaser of securities of the connected party might question our independence from that party.

Required Disclosure We must make certain disclosures where we act as your broker, advise you, or exercise discretion on your behalf with respect to securities issued by us, by a related party or, in the course of an initial distribution, by a connected party. In these situations, we must disclose either our relationship with the issuer of the securities, or that we are the issuer. We must also make a disclosure to you where we know or should know that, as a result of our acting as your broker or advisor, or of our exercising discretion on your behalf, securities will be purchased from or sold to us, an associated party or, in the course of an initial distribution by a connected party.

The following is a list of the time and manner in which these disclosures must be made: Where we underwrite securities, the required disclosure will be contained in the prospectus or other document being used to qualify those securities. Where we buy or sell securities for your Account, the required disclosure will be contained in the confirmation of trade that we prepare and send to you. Where we advise you with respect to the purchase or sale of securities, the disclosure must be made prior to our giving the advice. In addition, where we exercise discretion under your authority in the purchase or sale of securities for your Account, we may not exercise that discretion for the types of transactions described above.

We may, from time to time, be deemed to be related or connected to one or more issuers for the purpose of the disclosure and other rules of the securities laws referred to above. We are prepared to act as an advisor, dealer and underwriter in the ordinary course of our business to, and in respect of, any such related or connected issuer and in connection therewith to provide the full range of services customarily provided by us to and in respect of securities of the other issuers. In any such case, such investment dealer and other services shall be carried on by us in the ordinary course of our business as an advisor, dealer or underwriter in accordance with our usual practices and procedures and in accordance with all applicable disclosure and other regulatory requirements.

Dominick Capital Corporation, or its directors, officers, partners, salespeople or other employees may, from time to time, recommend that you trade in, or provide to you advice about, a security issued by these listed persons or companies. If you wish further information concerning the relationship between Dominick Capital Corporation and these listed persons or companies, or if you have any questions, please contact our Chief Compliance Officer at (416) 369-6929 or 133 Richmond Street West, Suite 602, Toronto, Ontario M5H 2L3, or email plilly@dominick.ca

List of Related or Connected Issuers: - No related or connected issuers
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