Jennings Capital (USA) Inc.
U.S. DISCLAIMER
NOTICE TO ALL U.S. PERSONS
Jennings Capital (USA) Inc. is a registered securities dealer in the United States. The information contained on this website is not intended for general publication in the United States. Certain Institutional investors in the United States may access information on this site on a pre-approved basis. Please contact your Jennings Capital (USA) Inc. representative for further information.
Jennings Capital (USA) Inc. will only open accounts in those jurisdictions in which it is registered.
Jennings Capital (USA) Inc. is a member of the Securities Investor Protection Corporation.
Privacy Policies - Jennings Capital (USA) Inc.
Please read this Policy in its entirety before using this Web site!
The following Privacy Policy applies to your brokerage account with Jennings Capital (USA) Inc. This Privacy Policy is in addition to the customer agreements governing your brokerage account.
Purpose for Collecting Personal Information
Jennings Capital (USA) Inc. understands the importance of protecting your personal information. Personal information obtained during the registration process may be used by Jennings Capital (USA) Inc. to open, maintain and secure your account and to improve Jennings Capital (USA) Inc. service to you. You may obtain copies of, or amend the personal information previously provided by you to Jennings Capital (USA) Inc. by contacting our Compliance Department. Inquiries or complaints regarding this policy should be directed to Jennings Capital (USA) Inc. - Compliance Department, Suite 2600, 520 – 5th Ave S.W. Calgary, AB T2P 3R7.
Disclosure of Personal Information
Jennings Capital (USA) Inc. does not disclose your personal information to third parties other than in the following circumstances: (a) in connection with the business operations of Jennings Capital (USA) Inc. to improve, maintain and service your account; (b) as required or allowed by applicable law or the by-laws, rules, regulations or polices of regulatory bodies having jurisdiction over the business and affairs of Jennings Capital (USA) Inc.; (c) to Jennings Capital (USA) Inc. legal or accounting professional advisors as may be required from time to time; and (d) in an aggregated form (i.e. not individual) for the purposes of statistical analysis of the business operations of Jennings Capital (USA) Inc. Otherwise, Jennings Capital (USA) Inc. will seek your informed consent prior to disclosing any such personal information.
Protection of Information
Jennings Capital (USA) Inc. protects your personal information by storing it in locations that are designed to prevent the loss, misuse, unauthorized access, disclosure, alteration or destruction of that information. Jennings Capital (USA) Inc. protects your account information by requiring you to enter a unique User Name and Password each time you want to access your account information. YOUR USER NAME AND PASSWORD ARE CONFIDENTIAL AND SHOULD NEVER BE DISCLOSED OR SHARED WITH ANYONE. You should immediately notify Jennings Capital (USA) Inc. by telephone and in writing of any unauthorized use of your User Name and Password, or if you know or suspect that your User Name or Password have been lost or stolen or become known to any other person.
Collection of Information
Jennings Capital (USA) Inc. collects personally identifying information about you when you provide it. The information collected may include your name, address, telephone number and email address, as well as other personal information prescribed by law for the purposes of opening a brokerage account with Jennings Capital (USA) Inc.
Important Information about Procedures for Opening a New Account.
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
These are the answers to some questions regarding our Customer Identification Program.
What types of information will I need to provide?
When you open an account, we will ask for your:
- Name
- Date of birth
- Address
- Identification number: - U.S. citizen: taxpayer identification number (Social Security number or employer identification number) - Non-U.S. citizen: taxpayer identification number; passport number and country of issuance; alien identification card number; or government-issued identification showing nationality, residence and a photography of you.
We may also ask to see your driver’s licence or other identifying documents.
A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business licence, a partnership agreement or a trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives and risk tolerance.
What happens if I do not provide the information requested or my identity cannot be verified?
Your firm may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.
Statement of Condition
The Statement of Financial Condition of the most recent annual audit report for Jennings Capital (USA) Inc. is available for examination.
To request a copy of this report please contact Jennings Capital (USA) Inc. at 1-888-292-0980.
SECURITIES INVESTOR PROTECTION CORPORATION (SIPC)
Jennings Capital (USA) Inc. is a member of the Securities Investor Protection Corporation.
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms conducting business in the United States.
FINRA BrokerCheck
FINRA BrokerCheck is a free tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It should be the first resource investors turn to when choosing whether to do business with a particular broker or brokerage firm.
For question regarding BrokerCheck:
- Call toll-free (800) 289-9999 Monday through Friday from 8 a.m. – 8 p.m., Eastern Time, or
- email us at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm
Business Continuity Plan
Jennings Capital Inc. and Jennings Capital (USA) Inc have developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – If our primary site is affected by a significant business disruption, we will resume business from our alternate location. All phone calls and system functions will be automatically rerouted to our alternate site. Our website will also be updated with any required information in the event of a business disruption.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical suppliers, contractors, banks and counter party impact; regulatory reporting; and prompt access to client funds and securities for institutional customers with trades pending, if we are unable to continue our business.
Our clearing firm, NBCN, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 48-72 hours. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is
located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. Regardless of the severity of the foregoing disruptions, we will transfer our operations to a local site powered by a diesel generator if required and expect to recover and resume business within 48-72 hours. In all of these situations, we plan to continue in business, transfers operations to our alternate site and notify you through our website. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure clients with pending trades prompt access to their funds and securities.
For more information – If you have questions about our business continuity planning, you can contact us at 403-292-9328
Suite 2600, 520 - 5th Avenue SW, Calgary, AB, Canada T2P 3R7
Phone: (403) 292-0970 Fax (403) 292-0979
Suite 320, 33 Yonge Street , Toronto, ON, Canada M5E 1G4
Phone: (416) 214-0600 Fax: (416) 214-0177
