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D&D Securities Inc. | Since 1929 - D&D Securities Inc.

D&D Securities Inc.

http://www.dominick.ca/

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D&D Securities Inc. | Since 1929 - D&D Securities Inc. | dominick.ca Reviews
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1 investment banking
2 management and operations
3 disclosures
4 disclaimer
5 business continuity plan
6 national instrument 24 101
7 iiroc links
8 conflicts of interest
9 fee transparency statement
10 relationship disclosure
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D&D Securities Inc. | Since 1929 - D&D Securities Inc. | dominick.ca Reviews

https://dominick.ca

D&D Securities Inc.

INTERNAL PAGES

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1

Sales & Trading

http://www.dominick.ca/institutional-sales-trading.html

Investment Banking and Advisory. AML And ATF Regime. Multiple Marketplaces and Best Execution Policy. Our Sales and Trading team is focused on providing efficient trade execution for equity and fixed income products. We are able to build on extensive industry relationships and our collective expertise to provide access to trading resources and sources of liquidity. Our Sales and Trading team members are:. This email address is being protected from spambots. You need JavaScript enabled to view it. This em...

2

Statement of Policies

http://www.dominick.ca/disclosures/statement-of-policies.html

Investment Banking and Advisory. AML And ATF Regime. Multiple Marketplaces and Best Execution Policy. 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. The following is a list of the time and manner in which these disclosures must be made:. Where we buy or sell securities for your Account, the required disclosure will b...

3

Multiple Marketplaces & Best Execution Policy

http://www.dominick.ca/disclosures/multiple-marketplaces-best-execution-policy.html

Investment Banking and Advisory. AML And ATF Regime. Multiple Marketplaces and Best Execution Policy. Multiple Marketplaces and Best Execution Policy. The following policies and procedures are intended to govern Dominick Inc.’s trading on multiple marketplaces and may affect the manner in which client trades are conducted:. Hours of Operation for Trading in Listed Canadian Securities. Dominick Inc. Investment Advisors, trading staff and systems will be available for order execution during Default Mar...

4

Management & Operations

http://www.dominick.ca/management-operation.html

Investment Banking and Advisory. AML And ATF Regime. Multiple Marketplaces and Best Execution Policy. Michael McIntosh, CEO. This email address is being protected from spambots. You need JavaScript enabled to view it. Patrick Lilly, President. This email address is being protected from spambots. You need JavaScript enabled to view it. Jackie McAdams, Client Services. This email address is being protected from spambots. You need JavaScript enabled to view it. Linh Duong, Accountant.

5

Fee Transparency Statement

http://www.dominick.ca/disclosures/fee-transparency-statement.html

Investment Banking and Advisory. AML And ATF Regime. Multiple Marketplaces and Best Execution Policy. Fees paid by Dominick Inc. (“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. 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. These fees and ...

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Institutional Sales and Trading. AML And ATF Regime. Multiple Marketplaces and Best Execution Policy. Welcome to D&D Securities Inc. D&D Securities Inc. is a Canadian investment dealer with offices in Toronto, Montreal and Calgary. The firm descends from one of the oldest, continuously operating financial institutions in North America, New York based Dominick and Dickerman. Operations commenced in Canada in 1936. D&D enjoys a depth that in unsurpassed in Canadian Investment Dealer circles.

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