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As an investor, you’re focused on achieving your financial goals and protecting your family’s future. That’s why you’ve chosen to work with a trusted financial professional to help you manage your portfolio.

Similarly, we have chosen the clearing and custodial services of RBC Clearing & Custody (RBC C&C) because we recognize the strength of our firm to safeguard your assets and accurately execute your investment transactions.

About RBC

Royal Bank of Canada (RBC) is one of the world’s leading diversified financial services companies. One that is distinguished by a long heritage of financial strength, integrity and unwavering dedication to our clients.

According to “RBC at a Glance-Q1/2022”, as at January 31, 2022

who is RBC Clearing & Custody?

RBC Clearing & Custody is a division of RBC Capital Markets, LLC, member NYSE/FINRA/SIPC. RBC Capital Markets, LLC, is a member of the NYSE, AMEX, CHX, CBOE and PSE and has execution capabilities on all principal exchanges.

RBC Capital Markets, LLC is a wholly-owned indirect subsidiary of Royal Bank of Canada, which trades under the symbol RY on the New York Stock Exchange.

FF Global Capital’s Relationship with RBC Clearing & Custody

Our firm has a contractual agreement with RBC Clearing & Custody, a division of RBC Capital Markets, LLC, to serve as our clearing firm. This fully disclosed clearing agreement states the responsibilities of each party. Prior to the agreement becoming effective, RBC Clearing & Custody is responsible for making all disclosures to our firm’s designated examining authority as required by FINRA Rule 4311.

Each client of our firm is notified of the relationship via a disclosure letter. The disclosure letter details the responsibilities that our firm (the introducing broker-dealer) and RBC Capital Markets, LLC (the clearing firm) have to the client. Although client assets are held by RBC Capital Markets, LLC, neither RBC Capital Markets, LLC, nor its parent company, Royal Bank of Canada, has responsibility for the financial condition or performance of our firm or our financial professionals.

SIPC & additional coverage for client accounts

Our clearing firm, RBC Clearing & Custody, is a division of RBC Capital Markets, LLC. RBC Capital Markets, LLC, is a member of the Securities Investor Protection Corporation (SIPC). SIPC is a nonprofit membership corporation funded by its member security broker-dealers. SIPC protects the securities clients of its members in the event of the failure of a member firm.
SIPC reimburses clients the cash value of their securities up to $500,000 per client. Any lost cash in a client's account would be reimbursed by SIPC up to $250,000 (reducing the $500,000 above).
RBC Capital Markets, LLC, purchases an additional policy that offers coverage in excess of the protection provided by SIPC. This coverage covers lost securities and cash protection up to $99.5 million per client, of which $900,000 may be in cash in addition to the SIPC limit. A $400 million aggregate limit applies to this additional coverage.

Note: Neither SIPC protection, nor protection in excess of that offered by SIPC, covers a decline in the value of a client’s assets due to market loss. Additional information is available upon request or at www.sipc.org.

Products & services available

Through our relationship with RBC Clearing & Custody, our clients have access to products and services that allow investment flexibility. ^[1] These products and services include the following:

[1] Please contact your financial professional for further information about each of the products offered. Investments should not be made without reading the full disclosure on each product.

Investment Access® Account

Which provides unlimited check writing, a Visa Platinum® Debit Card, electronic access for direct deposits, withdrawals and systematic investments, and convenient borrowing through marginable securities.

Fee-based options

That provide access to professional money managers, numerous mutual fund investments in one easy-to-manage account, and an account that can contain stocks, mutual funds and other investments.

Retirement plan accounts

That range from individual plans (traditional and Roth IRAs) to business retirement plans, such as 401(k) and SIMPLE plans.

Fixed-income products

Including government, municipal, corporate and mortgaged-backed securities.

Thousands of mutual funds

From the country's most prominent mutual fund families.

Comprehensive account statements

With easy-to-read trade confirmations.

online tool for 24/7 access

That provides brokerage information, a daily market summary, company and mutual fund profiles, headline news, "most actives" on the market, quick charts, quotes — all the things needed to keep today's investor up-to-date.

Frequently Asked Questions

What is “clearing"?

Securities markets are highly regulated. Whenever money and securities are exchanged, regulatory bodies, such as the Securities and Exchange Commission, require that every aspect of the transaction be documented and verified. The process of completing and documenting the trade is known as execution and clearance.

Does RBC C&C Keep Me Informed Of Activity In My Account?

Although you do not directly place transactions or inquiries through RBC C&C, we do generate confirmations for securities transactions in your account. You will also receive statements of your account in a clear, easy-to-read format. For further information about your statement, please ask your financial advisor for a copy of “Understanding Your Account Statement.”

What does RBC C&C do to protect my privacy?

We are dedicated to protecting your privacy and safeguarding the personal, business, and financial information entrusted to us. RBC companies follow comprehensive privacy policies and security practices in compliance with applicable laws.

Does RBC C&C Provide Features That Benefit Me Directly?

RBC has a variety of products. Our cash management services feature unlimited check writing and a Visa® Platinum Debit Card. Our fee-based products enable you to pay a simple fee based on the value of your account, rather than a commission for each transaction, while offering you access to top money managers and choices from thousands of mutual funds available at net asset value. A host of retirement plans are available to fit your needs. Plus you can view account information and market news 24-hours a day at www.investor-connect.com. No matter what products you choose, you’ll receive a combined statement from RBC C&C at the end of the year, as well as tax related documents depending on your account type. Please contact your financial advisor to learn more about specific products and services we offer.