National Bank Financial complies with the securities industry regulations in Canada. This section allows you to read about our processes and many policies that regulate different situations that may arise and affect the services we provide to you.
In March 2010, The U.S. Treasury Department signed into law the “Foreign Account Tax Compliance Act” (known as FATCA), to enable U.S. tax authorities to counter tax evasion by U.S. citizens (U.S. Persons) who hold foreign accounts. This U.S. law requires non-American Financial Institutions to identify U.S. Persons who hold accounts with them and to report relevant information on these accounts annually to fiscal authorities.
Statements of Financial Condition
National Bank of Canada Financial Inc. is registered broker-dealer under the Securities Exchange Act of 1934 as well as a member of the Financial Industry Regulatory Authority (FINRA) and a member of the Securities Investor Protection Corporation (SIPC). National Bank of Canada Financial Inc. is ultimately wholly-owned by National Bank of Canada.
National Bank of Canada Financial Inc. – unaudited statement as of April 30, 2018
National Bank of Canada Financial Inc. – audited statement as of October 31, 2018
Foreign Exchange Disclosure
National Bank of Canada acts as a Market Participant, as defined in the FX Global Code (“Code”), and is committed to conducting its FX Market activities in a manner consistent with the principles of the Code. We are publishing the following disclosure statement to inform our clients and counterparties of how we conduct activities on the FX Market.
FX Disclosure Statement (PDF) – as of February 12, 2018
Best Execution Public Disclosure Statement
Best Execution Public Disclosure Statement (PDF)
MiFID II Best Execution
Best Execution Fixed Income (PDF)
RTS 27 Q1-2018 (ZIP)
RTS 27 Q2-2018 (ZIP)
RTS 27 Q3-2018 (ZIP)
RTS 27 Q4-2018 (ZIP)
RTS 27 Q1-2019 (ZIP)
UK Tax strategy
UK Tax Strategy (PDF)
Statement of Commitment to the UK Money Markets Code
Statement of Commitment to the UK Money Markets Code (PDF)