About Us

A Canadian financial services provider helping clients with their capital raising, risk management and advisory requirements.

Regulatory information

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.


FATCA

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.

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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, 2017 



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

RTS 27 Q1-2018 (ZIP)


UK Tax strategy

UK Tax Strategy (PDF)