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.
Complaint Processing and Dispute Resolution Policy (Quebec Residents)
As part of our commitment to client transparency and regulatory compliance, Auspice Capital Advisors Ltd. publishes the following complaint-handling policy summary for clients residing in Québec.
Effective Date: July 1, 2025
Regulation: Regulation respecting Complaint Processing and Dispute Resolution in the Financial Sector (Québec)
We will:
Acknowledge all complaints within 10 calendar days
Provide a written resolution within 60 calendar days
Transfer your complaint file to the Autorité des marchés financiers (AMF) if requested
How to Submit a Complaint
Email: info@auspicecapital.com
Mail: Auspice Capital Advisors Ltd., Attn: Complaint Officer, Suite 510 – 1000 7th Avenue SW, Calgary, AB, T2P 5L5
Toll-free: 1-888-792-9291
AMF Contact Information (for Québec residents)
Website: www.lautorite.qc.ca
Phone: 1-877-525-0337
To learn more or request a full policy, contact our designated Complaint Officer at the email above.
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
Auspice Capital Advisors Ltd. (“Auspice”, “we”, “us” or “our”) is committed to protecting the confidentiality, accuracy and security of the personal information entrusted to us by our clients, investors and other individuals.
This Privacy Policy describes how Auspice collects, uses, discloses, retains and safeguards personal information in accordance with applicable Canadian privacy legislation, including the Personal Information Protection and Electronic Documents Act (PIPEDA) and Alberta’s Personal Information Protection Act (PIPA), as well as applicable securities, derivatives, tax and anti-money laundering laws.
Scope and Application
This Privacy Policy applies to personal information collected, used or disclosed by Auspice in connection
with:
investors in National Instrument 81-102 prospectus-qualified mutual funds, including liquid alternative mutual funds;
direct investors subscribing through Auspice’s Exempt Market Dealer (EMD) registration;
managed account clients;
clients and counterparties in Auspice’s capacity as Investment Fund Manager (IFM), Portfolio Manager (PM) and Commodity Trading Manager (CTM);
clients of investment funds or products for which Auspice acts as sub-advisor, manager, licensor or index provider, including exchange-traded funds;
prospective clients and investors;
former clients and investors; and
website users and other individuals who communicate with Auspice.
Personal Information We Collect
Auspice takes reasonable steps to ensure that personal information collected is accurate, complete and up to date for the purposes for which it is used. Individuals are encouraged to notify Auspice of any changes to their personal information to assist in maintaining its accuracy.
Depending on the nature of the relationship, Auspice may collect the following categories of personal
information:
(a) Identification and Contact Information
name, address, email address and telephone number;
date of birth, citizenship and residency status; and
government-issued identification numbers (including Social Insurance Number), where required or permitted by law.
(b) Financial and Investment Information
income, net worth, financial assets and liabilities;
liquidity needs and financial obligations;
investment objectives, time horizon, risk tolerance and risk capacity; and
knowledge and experience with securities, derivatives and alternative investment strategies;
account balances, transaction history and portfolio holdings.
(c) Suitability and Compliance Information
Know-Your-Client (KYC), Know-Your-Product (KYP) and suitability information;
concentration, liquidity and risk monitoring records; and
internal compliance reviews, notes and determinations.
(d) Anti-Money Laundering and Regulatory Information
identity verification records;
source of funds and beneficial ownership information; and
sanctions screening, reporting and regulatory correspondence.
(e) Technical and Digital Information
IP addresses, device identifiers, login credentials and audit logs associated with secure portals and systems.
(f) Communications
written correspondence, emails, meeting notes and recorded telephone calls (where permitted by law).
How We Collect Personal Information
Auspice collects personal information from a variety of sources, including:
subscription agreements, account opening documents and questionnaires;
communications and interactions with Auspice personnel;
transactions and account activity;
fund administrators, custodians, brokers, dealers and other service providers;
public sources and third-party databases, where permitted by law; and
regulatory authorities or pursuant to legal obligations.
Purposes for Collecting and Using Personal Information
Auspice collects, uses and retains personal information for the following purposes:
establishing and administering client and investor relationships;
verifying identity and complying with anti-money laundering and terrorist financing obligations (including FINTRAC requirements);
assessing eligibility for investment products and services;
performing KYC, KYP and suitability determinations, including ongoing reassessments;
monitoring concentration, liquidity, investment risk and compliance with investment restrictions;
executing, clearing and settling transactions;
maintaining books and records as required under securities, derivatives and tax legislation;
responding to regulatory inquiries, audits and examinations;
risk management, cybersecurity monitoring and incident response;
conducting internal compliance reviews, testing, surveillance, monitoring and remediation activities, including those required to meet regulatory expectations and examination findings;
communicating with clients and investors regarding accounts, products, disclosures and regulatory matters; and
any other purpose required or permitted by law, or to which the individual has consented.
Consent
Where required by law, Auspice obtains consent for the collection, use and disclosure of personal information. Consent may be express or implied, depending on the circumstances and the sensitivity of the information.
Individuals acknowledge that certain personal information must be collected, used or disclosed without consent where required or permitted by law, including under securities, derivatives, tax and anti-money laundering legislation.
An individual may withdraw consent, subject to legal and contractual restrictions. Withdrawal of consent, or failure to provide required personal information, may result in limitations on services, transaction restrictions, the inability to process subscriptions, redemptions or trades, or the termination of the client or investor relationship where the information is required to meet legal or regulatory obligations.
Disclosure of Personal Information
Auspice may disclose personal information, where necessary and appropriate, to:
fund administrators, custodians, brokers and dealers;
accounting, legal, audit, compliance and tax advisors;
technology, data hosting and cybersecurity service providers;
banks and financial institutions;
securities regulators, self-regulatory organizations and law enforcement authorities; and
affiliates or related entities, where permitted by law and subject to appropriate safeguards.
Regulatory Filings and Indirect Collection of Personal Information
Certain personal information relating to clients and investors may be disclosed to, or collected indirectly by, securities regulators and other regulatory authorities under applicable securities legislation. This may include information such as an individual’s name and address, details of securities issued or acquired, transaction dates, purchase amounts, account information, and other information required for regulatory filings and ongoing oversight.
Such information is collected, used and disclosed by securities regulators for the purposes of the administration and enforcement of applicable securities, derivatives and investment fund legislation. Regulatory filings may be made with one or more members of the Canadian Securities Administrators (CSA), including the Ontario Securities Commission, the Alberta Securities Commission, and other applicable provincial or territorial regulators, as well as through national filing systems such as SEDAR+ and the National Registration Database (NRD).
By entering into an investment or client relationship with Auspice, individuals acknowledge and authorize the indirect collection, use and disclosure of their personal information by applicable regulatory authorities in accordance with securities legislation. Such collection, use and disclosure occurs under the authority of applicable securities legislation and does not require further consent.
Cross-Border Transfers
Personal information may be stored or processed outside of Canada, including in the United States, by Auspice or its service providers. As a result, such information may be subject to the laws of foreign jurisdictions and accessible to foreign regulators or authorities in accordance with applicable law.
Auspice takes reasonable steps to ensure that service providers processing personal information outside Canada are subject to contractual and operational safeguards appropriate to the sensitivity of the information.
By engaging Auspice, individuals acknowledge that foreign laws may not provide the same level of protection as Canadian privacy legislation.
Safeguards and Security
Auspice maintains administrative, technical and physical safeguards designed to protect personal information against loss, theft, unauthorized access, disclosure, copying, use or modification. These safeguards include:
• role-based access controls and confidentiality obligations;
• secure systems, encryption and authentication controls;
• vendor due diligence and oversight processes; and
• incident response and escalation procedures.
Retention of Personal Information
Personal information is retained only for as long as necessary to fulfill the purposes for which it was collected and to comply with legal, regulatory and professional obligations. Retention periods may extend beyond the termination of a client or investor relationship.
Access and Correction
Individuals may request access to their personal information and request corrections where information is inaccurate or incomplete, subject to legal limitations. Requests must be made in writing to Auspice’s Privacy Officer.
Privacy Officer and Complaints
Auspice has appointed a Privacy Officer responsible for overseeing compliance with this Privacy Policy and applicable privacy laws.
Privacy Officer
Auspice Capital Advisors Ltd.
Suite 510, 1000 – 7 Avenue S.W.
Calgary, Alberta T2P 5L5
Email: info@auspicecapital.com
Telephone: 1-888-792-9291
Individuals may also contact the Office of the Privacy Commissioner of Canada or applicable provincial privacy commissioners if concerns are not resolved.
Changes to This Privacy Policy
Auspice may amend this Privacy Policy from time to time. The most current version will be posted on Auspice’s website with an updated effective date. Continued use of Auspice’s services constitutes acceptance of any changes.
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.