Regulatory Documents

Find all the regulatory documents and addendas you need.

Independent Review Committee's report

In accordance with Canadian securities regulations, National Bank Investments Inc. (NBI) has set up an Independent Review Committee (IRC). The NBI Fund and NBI ETF managers submit any conflicts of interest to the IRC for review. The IRC also reviews and provides input on managers' written policies and procedures on such conflicts of interest. According to its charter, the IRC is formed of at least three members independent from the NBI Fund and NBI ETF managers and their related entities. At least once a year, the IRC prepares a report on its activities for unitholders.

Read the February 21, 2024 report for unitholders by the Independent Review Committee.

Statement of policies respecting conflicts of interest

Securities regulations in Canada require all dealers and advisors to comply with certain rules in relation to conflicts of interest, particularly with respect to the disclosure of information in that regard. The Statement of policies respecting conflicts of interest, in PDF format, describes situations where a conflict of interest might exist and details how NBI responds to such conflicts.