Disclaimer
Trading futures can be speculative and the risk of loss may be significant. Therefore, it may not be suitable for all investors. Past results are not indicative of future results. There is no assurance that any of the strategy’s investment objectives will be met. Please read the offering memorandum before investing.
An investment in the ETF(s) involves risk, including the possible loss of principle. The use of futures contacts, options and swaps are subject to market risk that cause the price to fluctuate over time. Commissions, management fees and expenses all may be associated with the ETF. The ETF is not guaranteed and the value changes frequently and past performance may not be repeated. Please read the prospectus before investing.
The information on the website is for informational purposes and should not be construed as an offer, solicitation or provide financial, investment, tax, legal, accounting or any other advice recommendation for you. You should not act or rely on the information without seeking advice of a qualified professional advisor. For more information, a copy of the offering memorandum, prospectus, term sheets or brochures, please call Auspice at 1-888-792-9291.
Conflicts of Interest Disclosure Statement
February 2023
A conflict of interest (“COI”) can occur where the interests of a client and those of Auspice Capital Advisors Ltd. (“Auspice” of the “Firm”), or individuals acting on Auspice’s behalf, are inconsistent or differ. Auspice employees must never allow themselves to be placed in a position where their personal interests are in conflict (or could be a potential conflict) with the interests or business of the client. In general, Auspice manages conflicts in one or more of the following ways:
Avoid: avoid the COI;
Control: controlling the COI by determining if intra-firm adjustments, policies and procedures and controls can be implemented; or
Disclosure: disclosing the COI to all interested parties that may affect the service Auspice provides prior to any decision being made that affects the interested party.
Attached here is a list of potential materials COIs and the primary methods we use to manage them.
Policies
Terms of Web site Use
Auspice Capital Advisors Ltd. (Auspice), will make reasonable efforts to ensure that the information contained on our website is accurate. However, Auspice cannot guarantee the completeness, accuracy and/or that it will be current at all times. Auspice shall not be responsible for any errors, omissions, or inaccuracies and accepts no liability whatsoever for any loss or damage howsoever arising from information contained on the website . Auspice reserves the right to make changes to or take down the web site or remove or alter any content at any time without notice. We suggest that you review these Terms periodically for changes. The Terms can be accessed from links on the home page and other pages of the Auspice web site. If you use this web site after we post changes to these Terms, you accept the changed terms.
E-mail over the Internet is not a secure medium and privacy cannot be assured. Auspice will not be responsible for any harm or damage you may experience or incur by sending personal or confidential information to Auspice over the Internet by e-mail, or if we send such information at your request. Please refer to Auspice's privacy policy for more information.
This web site may contain hypertext links to web sites owned and controlled by other parties than Auspice. We have no control over any third-party-owned web sites or content referred to, accessed by or available on this web site and therefore we do not endorse, sponsor, recommend or otherwise accept any responsibility for such third-party web sites or content or for the availability of such web sites. In particular, we do not accept any liability arising out of any allegation that any third-party-owned content (whether published on this or any other web site) infringes the intellectual property rights of any person, or any liability arising out of any information or opinion contained on such third-party web site or content.
This web site, including all of its content, is the property of Auspice Capital Advisors Ltd., and is protected by Canadian and international copyright, trade-mark, and other applicable laws. The use of this web site does not transfer to you any ownership or their rights in this web site or its content.
Privacy Policy
The privacy of our investors is very important to us. Set forth below are our policies with respect to nonpublic personal information of Subscribers, investors and former investors that we collect, use and disclose. This nonpublic personal information would include but not limited to, name, home/work/email addresses, home/work telephone numbers, social insurance number, age, identification numbers, etc. In connection with the offering and sale of Auspice Capital Advisor’s investment vehicles, we collect and maintain nonpublic personal information about Subscribers. We collect their nonpublic personal information to enable us to provide them with services in connection with their investment in the Fund, to meet legal and regulatory requirements and for any other purpose to which they may consent in the future. Their nonpublic personal information is collected from the following sources:
(a) subscription agreements or other forms that they submit to us;
(b) their transactions with us and our affiliates; and
(c) meetings and telephone conversations with them.
Unless a subscriber otherwise advises, by providing us with their non-public personal information they have consented to our collection, use and disclosure of your information as provided herein. We collect and maintain their non-public personal information in order to give them the best possible service and allow us to establish their identity, protect us from error and fraud, comply with the law and assess their eligibility in our products.
We may disclose their non-public personal information to third parties, when necessary, and to our affiliates in connection with the services we provide related to their subscription for Units of the Fund, including:
(a) financial service providers, such as banks and others used to finance or facilitate transactions by, or operations of, the Fund;
(b) other service providers to our Fund, such as accounting, legal, or tax preparation services; and
(c) taxation and regulatory authorities and agencies.
We seek to carefully safeguard their private information and, to that end, restrict access to non-public personal information about them to those employees and other persons who need to know the information to enable us to provide services to them. Each employee of Auspice is responsible for ensuring the confidentiality of all non-public personal information they may access.
Investors’ non-public personal information is maintained on our networks or on the networks of our service providers. Non-public personal information may also be stored on a secure off-site storage facility. An investor may access their non-public personal information to verify its accuracy, to withdraw their consent to any of the foregoing collections, uses and/or disclosures being made of their non-public personal information and may update their information by contacting Auspice at the following number: 1 (888) 792-9291 ext 706. Please note that an investor’s ability to participate in the Fund may be impacted should they withdraw their consent to the collection, use and disclosure of their non-public personal information as outlined above.
For resolving privacy-related complaints, they may be registered by contacting our Privacy Officer:
by e-mail at: info@auspicecapital.com;
by phone at: 1-888-792-9291 ext 706;
or by regular mail addressed as follows:
Auspice Capital Advisors Ltd.
Suite 510 - 1000 7th AVE S.W.
Calgary, Alberta T2P 5L5
Attention: Privacy Officer
Changes to this privacy policy statement:
We reserve the right to change or remove this Policy at our discretion. Changes we will be posted at our website: www.auspicecapital.com, with a visible effective date. We encourage you to visit this link frequently to remain informed.
Please Note:
Investors resident in Ontario should be aware that the Fund is required to file with the Ontario Securities Commission (“OSC”) a report setting out the Subscriber’s name and address, the class and series of Units issued, the date of issuance and the purchase price of Units issued to the Subscriber. Such information is collected indirectly by the OSC under the authority granted to it in securities legislation, for the purposes of the administration and enforcement of the securities legislation of Ontario. By submitting this subscription, the Subscriber authorizes such indirect collection of the information by the OSC. The following official can answer questions about the OSC’s indirect collection of the information:
Administrative Assistant to the Director of Corporate Finance
Suite 1903, Box 5520 Queen Street West
Toronto, Ontario M5H 3S8
Telephone: (416) 593-8086
Facsimile: (416) 593-8252
Certain filings may be made in other jurisdictions as well.
The Auspice Business Continuity Plan
Overview
The purpose of the Auspice Business Continuity plan (BCP) is to ensure that Auspice Capital Advisors Ltd. (Auspice) core business remains fully operational, in the event of a significant business interruption (SBI). The BCP establishes an alternative means of operating and provides necessary guidance for restoration procedures in the event of an SBI.
The BCP addresses: alternate operating locations, advance preparation, data backup and recovery, financial and operational assessments, mission critical processes, and communications.
Contacting Auspice
Should the Auspice main location Suite 510, 1000 7th Ave S.W., Calgary, AB, T2P 5L5, be affected by an SBI the business will operate remotely. Calls to 888-792-9291 (main line) and emails to the primary office will be re-routed to the alternate site where there is access to all critical systems. If you cannot access the firm through the telephone lines or email, Auspice’s website will be updated with further information at www.auspicecapital.com.
Mission Critical Systems
Auspice’s “mission critical systems” are all of those systems and functions that are core to the day to day operation of the business. They ensure prompt and accurate processing of securities transactions, maintenance of customer accounts, trade order generation and execution, and valuations of financial products. In the event of an SBI that affects the primary location, these functions will be carried out from an offsite location.
For more information
If there are any questions regarding the Auspice BCP, please contact the firm at (888) 792-9291 or by e-mailing your questions to info@auspicecapital.com.