The site contains information regarding our products and services, and such information, depending on the jurisdiction, may not be applicable or available in all jurisdictions. Every jurisdiction (including every Canadian province and every state in the U.S.) has specific laws regarding the types of products, services and information that may be offered to its residents. This section allows you to read about our processes and many policies that regulate different situations that may arise and affect the services we provide to you.
Statements of Financial Condition
National Bank of Canada Financial Inc. is registered broker-dealer under the Securities Exchange Act of 1934 as well as a member of the Financial Industry Regulatory Authority (FINRA) and a member of the Securities Investor Protection Corporation (SIPC). National Bank of Canada Financial Inc. is ultimately wholly-owned by National Bank of Canada.
National Bank of Canada Financial Inc. (PDF) – audited statement as of October 31, 2025
National Bank of Canada Financial Inc. (PDF) – unaudited statement as of April 30, 2025
Foreign Exchange Disclosure
National Bank of Canada acts as a Market Participant, as defined in the FX Global Code (“Code”), and is committed to conducting its FX Market activities in a manner consistent with the principles of the Code. We are publishing the following disclosure statement to inform our clients and counterparties of how we conduct activities on the FX Market.
FX Disclosure Statement (PDF) – as of September 2025
FX Global Code Statement of Commitment (PDF)
Statement of Commitment to the UK Money Markets Code
Anticorruption and Anti-Money Laundering / Anti-Terrorist Financing (AML/ATF) Programs
Trade Matching Statement (24-101)
NBF Trade-Matching Statement (PDF) – as of October 2025
NBC Trade-Matching Statement (PDF) – as of October 2025
UK Tax Strategy
Derivatives: Business Conduct (NI 93-101)
- Canadian Derivatives Business Conduct Disclosure (PDF)
- Customer Complaints
OTC derivatives dealers are required to respond timely to any complaint made against that derivatives dealer. You may direct complaints via email to otcderivativescompliance@nbc.ca.
Dodd-Frank Disclosures and Notifications
National Bank of Canada Financial Inc – Annual Disclosure to Customers
NBC Global Finance Limited
NBC Global Finance Limited Complaints Handling Process (PDF)
NBC Global Finance Limited Pillar III disclosure (Email: finance@nbcgf.ie)