Legal

Accessibility Policy

Information about the services and products of Hampton Securities is intended for use only in jurisdictions where their use or sale is legal, or where Hampton Securities is a registrant.

Terms & Conditions

  1. Solicitation. Nothing on the site shall be construed as an offer to sell or a solicitation of an offer to buy any securities. Hampton or affiliated companies or persons may participate in an underwriting of, have a position in, or make a market in, the securities mentioned herein, including options, futures or other derivative instruments thereon, and may, as principal or agent, buy and sell such products.
  2. Use of Information. You hereby agree that you shall not use any information contained in this Site or the links to this Site in any claims, proceedings, suits or actions against Hampton, or its affiliates.
  3. No Warranty or Representation. While Hampton Securities Ltd. & its affiliates (“Hampton”) uses reasonable efforts to include accurate and up-to-date information on the Hampton web site (the “Site”), your use and browsing of the Site is completely at your own risk. Nothing in the Site shall add to or change any contract or relationship you may have with Hampton, or its affiliates. Neither Hampton, its affiliates nor any other party involved in creating, producing, or delivering the Site is liable for any direct, indirect, incidental, special, consequential, punitive or other damages whatsoever, including business interruption, loss of use, data, information, profits (regardless of the form of action, including but not limited to contract, negligence or other tortuous acts) arising out of or in connection with your access or use of the Site, even if Hampton has been advised of or foresees the possibility of any damages occurring. Without limiting the foregoing, everything on the Site is provided to you “as is” without representation, warranty or condition of any kind, either express, implied, or statutory, including, but not limited to, implied representations, conditions of sale, suitability, title, or non-infringement of intellectual property rights. Changes or updates to the content of this Site may occur without notice.
  4. Linkage. The sites linked to this Site are not under the control of Hampton and Hampton is not responsible for and makes no representations, warranties or conditions concerning the contents of any linked site or any link contained in a linked site. It is your responsibility to verify any information contained within the links before relying on it. Also, the information contained in the links may be changed or updated at any time without notice. Hampton provides links to you only as a convenience and the inclusion of any link does not imply endorsement, investigation or verification by Hampton of the linked site. Your use of the linked sites may be subject to terms and conditions contained in these web sites, which you should locate and carefully review.
  5. Monitoring. Hampton is under no obligation to monitor the Site and assumes no responsibility or liability should its consent be modified or altered in any way without Hampton’s consent.
  6. Revisions. Hampton may at any time revise these Terms and Conditions by updating this posting. You should therefore review these Terms and Conditions each time your access the Site.
  7. Copyright. You should assume that everything you see or read on the Site is copyrighted unless otherwise noted and may not be used without the written permission of Hampton, except for not-commercial use provided that you do not modify the content and that you retain all copyright and other proprietary notices contained in the content. You may not copy or display for redistribution to third parties or for commercial purpose any portion of the content.
  8. Trademarks. The trademarks, logos, service marks and other names, logos and icons identifying products and services (collectively the “Trademarks”) displayed on the Site, are registered and unregistered Trademarks of Hampton and others.
  9. Consent. You hereby authorize Hampton to collect and retain all relevant information relating to your use of the Site. You further authorize any third party to provide Hampton with such information.
  10. Damage. Hampton 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 the Site or your downloading of any materials, data, text, or images from the Site.
  11. Right of Indemnification. You agree to defend, indemnify and hold Hampton, its suppliers, employees, affiliates and related companies harmless from any and all liabilities, costs and expenses, including reasonable legal fees related to any violation of these Terms and Conditions by you, or in connection with your use of the Site or with the placement or transmission of any message or information on the Site by you.
  12. Waiver. Hampton’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.
  13. 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.

Institutional Trade Matching

NATIONAL INSTRUMENT 24 – 101: TRADE MATCHING AND SETTLEMENT

National Instrument 24-101 requires participant institutions in the Canadian securities industry to ensure counter parties to trades are committed to meeting settlement performance timelines set forth in the Instrument.

Hampton Securities Trade Matching Statement

Multiple Marketplaces

With the emergence of multiple competitive marketplaces in Canada, Hampton Securities Limited and its affiliated entities (“Hampton”) has prepared this policy to inform its clients of the conditions and activities that could affect them in this new trading environment. If you have any questions regarding this policy, please contact your Investment Advisor.

1. Principal Marketplace

Unless notified otherwise by Hampton, the principal marketplace for all securities listed on the Toronto Stock Exchange (“TSX”), whether or not the security is trading on other alternate marketplaces, will be the TSX.

The TSX operates between 9:30 am (Toronto local time) and 4:00 pm (Toronto local time), Monday through Friday, not including statutory holidays in Ontario. All references to time in this document are references to Toronto local time which is Eastern Standard Time or Eastern Daylight Savings Time when in effect.

2. Hours of Operation for Trading in Listed Canadian Securities

Hampton’s trading staff and systems will be available for order execution during principal marketplace hours. Staff may be available outside of principal marketplace hours; however, Hampton will not guarantee order taking and/or trade execution outside of the hours of 9:30 am to 4:00 pm.

3. Standard Handling of Orders

All orders received will be handled as follows:

a) an order received prior to principal marketplace open (9:30 am) will book to the pre-opening of the principal marketplace (TSX) for booking or execution at the opening. Orders received prior to marketplace open will not route to an alternative marketplace; and

b) an order received after the principal marketplace close (4:00 pm) will be entered to the pre-opening of the principal marketplace (TSX) on the following business day. Orders received after marketplace close will not route to an alternative marketplace, and

c) an order received during the principal 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 Hampton feels the order has the highest probability of being executed. This may be any marketplace that Hampton has access to and/or can access for the purpose of best execution, and

d) any portion of an order that cannot be immediately filled will be booked to the principal marketplace and will remain in the booked marketplace until the order is filled, expired, changed or cancelled.

4. Order Execution

Certain types of orders have specific handling implications in a multiple marketplace environment. These have been addressed as follows:

a. 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 Handling of Orders”. All Day Orders expire, if not filled in full, upon the close of the marketplace where the last portion of the order remains live, unless otherwise agreed to between the client and the Investment Advisor.

b. Good Til Cancelled Orders

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

c. 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 Handling of Orders”. 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.

d. 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 Handling of Orders”. The order will expire, if not filled in full, upon the close of the marketplace where the last portion of the order remains live.

e. Special Terms Orders

Special Terms Orders are orders with specific terms that are not executable in the regular marketplace. Special Terms Orders will only post to the Special Terms Market of the principal 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 principal marketplace.

f. Stop Loss Orders

Stop Loss Orders are orders that become limit orders when a board lot 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 directed to the principal marketplace (currently the TSX) until executed or expiry, whichever comes first.

5. Extenuating Circumstances

In the event of technical or other issues that limit Hampton’s access to specific marketplaces or routing automation, orders received will be directed to the principal or alternative marketplace as determined by circumstances in the marketplace.

6. Disclosure of Marketplace

An order executed on one or more marketplace or alternative marketplace will be reported to the client using separate confirmations for each marketplace on which the order was filled. The marketplace on which the order was filled will be identified by name on the confirmation.

The following tables provide a summary of this policy.

Standard Handling of Orders

Orders received prior to principal marketplace open (9:30 am, Toronto time)Order will be entered into the pre-opening of the principal marketplace (TSX)

Orders received after principal marketplace close (4:00 pm, Toronto time)Orders will be entered into the pre-opening of the principal marketplace (TSX) on the following business day.

Orders received during principal marketplace operating hours (between 9:30am and 4:00pm, Toronto time)Orders will be entered into the best market at the time of entry.

If you should have any questions related to this policy, please contact your Investment Advisor.

Complaints

If you have a complaint about misconduct on the part of any Hampton staff we ask that you send us a letter describing your complaint. You may also make a verbal complaint. In either case we will send you a letter acknowledging your complaint within 5 days of receipt and will respond to you within 90 days.

Please address any letters or enquirers to the Chief Compliance Officer at our address located at ‘Contact Us’.