Client Disclosure
As a Canadian Exempt Market Dealer registered in the provinces of British Columbia, Alberta, Manitoba, Saskatchewan and Ontario, Ascenta Finance is committed to the highest ethical standards of investment banking.
Ascenta Finance will:
Practice investment banking within the highest legal, regulatory and ethical standards.
Exercise independent professional judgment in the conduct of our duties and responsibilities.
Attempt to avoid even the appearance of professional impropriety in the conduct of our investment responsibilities.
Keep up to date regarding the affairs of our clients, as well as the laws, regulations and principles affecting the practice of investment banking and corporate finance.
Maintain the confidentiality of information acquired in the normal course of business.
Not use confidential information acquired in the normal course of business for personal advantage, nor for the advantage of others, except in the legitimate performance of our duties on behalf of our clients.
Report to company authorities, the board of directors, or appropriate securities regulators, if we suspect or recognize fraudulent or illegal acts.
Recognize that the integrity and credibility of the capital markets is based on complete, timely and non-selective disclosure of financial and non-financial corporate information and, to the best of our ability and knowledge, work to ensure that our clients communicate such information on a timely basis.
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Ascenta Finance's focus is on companies poised for growth that can offer superior returns to our investor network. We approach our business in a team-oriented fashion, making the interests and investments of our network a top priority.