Full Service Brokerage Services through the
Special Services Department, NBF
Working to protect and enhance the
Advisor’s relationship
with their client
It is illegal for the Dealer to give advice regarding a transaction if
the Dealer is not registered to provide that service.
About the Special Services Department
(S.S.D.)

S.S.D. pioneered the referral structure in Canada

S.S.D. has provided our securities referral platform for close to twenty
years

S.S.D. provides full service and advice to referred clients

S.S.D. only gives advice on investments that the referring advisor is not
licensed to advise on

S.S.D. executes all paperwork and assumes compliance responsibility
The Special Services Advantage

We are based within a robust Full Service Investment Dealer at National Bank
Financial

We are licensed across Canada

We can service clients in English, Cantonese, Mandarin and *French.

We allow the Advisor to facilitate their clients' full securities needs, while protecting
and enhancing their relationship with their client

We eliminate the need for the Advisors’ client to deal with a competitor

We suppress all direct marketing from NBF - Clients only receive statements and
tax packages.

Advisor is in charge of the referral process

Advisor has on-line viewing access of client's account

Advisor name is included on the client's statement
* if required
The Special Services Advantage

In-kind transfers - Keep control of the sales process

Top Ranked Research & Recommendations

Fixed-Income and Equity portfolio construction

Custom-designed portfolio service personalized to your client's needs

Fee-based account, eliminating commissions (allows F-Class mutual funds):
the Partnership Account
Full Service Brokerage



Full Service and Full Advice
Provide Stock and Bond Analysis
Provide Research to Clients




Equity and Fixed Income Portfolio Construction
Access to Managed Products
Options Trading, Shorting and Margin Accounts
Access to most foreign exchanges and Fixed Income Markets

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Flow Through Limited Partnerships
Funding, exercise and sale of executive stock options
All account types: margin, estate, trusts, corporate, etc.
Co-operating with you

Our goal is to execute the Advisors clients' securities needs, while the
advisor continues to look after the client’s overall financial planning
requirements, mutual funds, insurance, etc.

In their financial planning capacity, Advisors may participate in the process
of determining the proper risk profile with the client and ourselves.

Advisors are welcome to request and be on the phone with clients during
periodic portfolio reviews.
What S.S.D. Offers the Advisor

Advisor receives a portion of the commission as a referral fee on every
commissioned transaction. Up to a 40% referral fee is paid on referred
activity (over certain minimum)

Advisor has the ability to discount the trade commission up to 40% to the
client
EQUITY TRADES
Number of Shares
Price Per Share
Full Commission Rate
Commission
1000
1000
1000
1000
1000
1000
1000
1000
1000
1000
$4.00
$5.00
$10.00
$20.00
$30.00
$40.00
$50.00
$60.00
$80.00
$100.00
3.12%
2.64%
2.40%
2.30%
2.00%
2.00%
1.75%
1.75%
1.75%
1.00%
$125.00
$132.00
$240.00
$460.00
$600.00
$800.00
$875.00
$1,050.00
$1,400.00
$1,000.00
Referral Fee
(up to 40%)
$0.00
$7.00
$96.00
$184.00
$240.00
$320.00
$350.00
$420.00
$560.00
$400.00
New Issues Referral fees are 30%
BOND TRADES
Term
Full Commission Rate
(suggested minimum)
Commission
Referral Fee
(up to 40%)
$250.00
$500.00
$1000.00
$100.00
$200.00
$400.00
Per $100,000 par value
1 year to under 18 months
18 months to under 3 years
3 years to 30 years
0.25%
0.50%
1.00%
The Special Services Advantage
Benefits to Advisors


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Safety & stability. National Bank, which owns National Bank Financial has a
150+ year history of serving Canadians
High quality research, advice and free portfolio analysis / construction
At referring advisors discretion, clients could receive discounts from normal
brokerage fees
Advice on tax advantaged limited partnerships for corporations and
individuals
Referred client is in a “protected environment” and will not be solicited
Receive ongoing referral fees
Do you want more information on S.S.D.?
For more information about our referral program visit our website:
www.ssdnbf.com password: your 4 digit dealer code or enter the
word ‘welcome’
Contact us at
1-800-665-6669
604-643-2774