
THE HORIZONS ETFs FAMILY
EQUITIES, CURRENCY AND COMMODITY ETFs
Equities
HEW - Horizons S&P/TSX 60 Equal Weight Index ETF
HJE - Horizons GMP® Junior Oil and Gas Index™ ETF
HXS - Horizons S&P 500® Index ETF
HXT, HXT.U - Horizons S&P/TSX 60™ Index ETF
Currencies
DLR, DLR.U - Horizons U.S. Dollar Currency ETF
ASD - Horizons Australian Dollar Currency ETF
Commodities
HUK - Horizons COMEX® Copper ETF
HUG - Horizons COMEX® Gold ETF
HUZ - Horizons COMEX® Silver ETF
HUC - Horizons Winter-Term NYMEX® Crude Oil ETF
HUN - Horizons Winter-Term NYMEX® Natural Gas ETF
Fixed Income
HAF, HAF.A - Horizons Tactical Bond ETF
HAP, HAP.A - Horizons Income Plus ETF
HAB, HAB.A - Horizons Corporate Bond ETF
HFR, HFR.A - Horizons Floating Rate Bond ETF
HUF.U, HUF.V - Horizons U.S. Floating Rate Bond ETF
HYI, HYI.A - Horizons High Yield Bond ETF
Balanced
HAA, HAA.A - Horizons Balanced ETF
Specialty
HAC, HAC.A - Horizons Seasonal Rotation ETF
HAG, HAG.A - Horizons Gartman ETF
HAH, HAH.A - Horizons S&P/TSX 60 130/30™ Index ETF
HMF, HMF.A - Horizons Auspice Managed Futures Index ETF
HHF, HHF.A - Horizons Morningstar Hedge Fund Index ETF
Equities
HAV, HAV.A - Horizons North American Value ETF
HAW, HAW.A - Horizons North American Growth ETF
HAL, HAL.A - Horizons Dividend ETF
HAZ, HAZ.A - Horizons Global Dividend ETF
HPR, HPR.A - Horizons Preferred Share ETF
Covered Call
HEA.U, HEA.V - Horizons Enhanced Income U.S. Equity (USD) ETF
HEJ, HEJ.A - Horizons Enhanced Income International Equity ETF
HEF, HEF.A - Horizons Enhanced Income Financials ETF
HEE, HEE.A - Horizons Enhanced Income Energy ETF
HEP, HEP.A - Horizons Enhanced Income Gold Producers ETF
HEX, HEX.A - Horizons Enhanced Income Equity ETF
HES.UN - Horizons Enhanced U.S. Equity Income Fund *
HNY, HNY.A - Horizons Natural Gas Yield ETF
HOY, HOY.A - Horizons Crude Oil Yield ETF
HZY, HZY.A - Horizons Silver Yield ETF
HGY, HGY.A - Horizons Gold Yield ETF
LEVERAGED, INVERSE, SPREADS AND VOLATILITY ETFs
LEVERAGED, INVERSE, SPREADS AND VOLATILITY ETFs
Leveraged (Fixed Income/Currencies)
HDU, HDD - BetaPro U.S. Dollar Bull+ & Bear+ ETF
HTU, HTD - BetaPro U.S. 30-Year Bond Bull+ & Bear+ ETF
Volatility
HUV - BetaPro S&P 500 VIX Short-Term Futures™ ETF
Volatility (Leveraged)
HVU - BetaPro S&P 500 VIX Short-Term Futures™ Bull+ ETF
Volatility (Inverse)
HVI - BetaPro S&P 500 VIX Short-Term Futures™ Inverse ETF
Leveraged (Commodities)
HKU, HKD - BetaPro COMEX® Copper Bull+ & Bear+ ETF
HBU, HBD - BetaPro COMEX® Gold Bullion Bull+ & Bear+ ETF
HZU, HZD - BetaPro COMEX® Silver Bull+ & Bear+ ETF
HOU, HOD - BetaPro NYMEX® Crude Oil Bull+ & Bear+ ETF
HNU, HND - BetaPro NYMEX® Natural Gas Bull+ & Bear+ ETF
Inverse (Equities, Commodities)
HIX - BetaPro S&P/TSX 60™ Inverse ETF
HIF - BetaPro S&P/TSX Capped Financials™ Inverse ETF
HIE - BetaPro S&P/TSX Capped Energy™ Inverse ETF
HIG - BetaPro S&P/TSX Global Gold™ Inverse ETF
HIU - BetaPro S&P 500® Inverse ETF
HIO - BetaPro NYMEX® Crude Oil Inverse ETF
HIN - BetaPro NYMEX® Natural Gas Inverse ETF
HIB - BetaPro COMEX® Gold Inverse ETF
HIZ - BetaPro COMEX® Silver Inverse ETF
Commodity Spreads (Leveraged)
HBZ - BetaPro COMEX® Long Gold / Short Silver Spread ETF
HZB - BetaPro COMEX® Long Silver / Short Gold Spread ETF
HON - BetaPro NYMEX® Long Crude Oil / Short Natural Gas Spread ETF
HNO - BetaPro NYMEX® Long Natural Gas / Short Crude Oil Spread ETF
* HES.UN currently trades as a closed-end funds on the TSX. It is expected to convert into an actively managed ETF no later than November 30, 2012.
Privacy of information
PRIVACY AND YOU
As of January 1, 2004, Canadian commercial organizations that collect, use or disclose personal information must comply with the federal Personal Information Protection and Electronic Documents Act ("PIPEDA"). The purpose of the legislation is to let individuals know how organizations handle the personal information of their clients. Quebec, British Columbia and Alberta have similar privacy legislation.
Horizons ETFs Management Canada Inc. and AlphaPro Management Inc. are committed to protecting its clients' or investors' personal information and shall obtain your consent before collecting, using and disclosing your personal information. All personal information is held in strict confidence and we control access to, and the use of, such information according to the practices and procedures set out in this statement.
We will only ask you for information that we need to provide fund management services, to establish your identity, to keep records, to prevent error and fraud, to comply with the law, to assess your eligibility for our products and services, or to respond to inquiries from your advisor, if you have one, and to provide you with the best possible service. Your personal information may also be used for marketing purposes, including sending you product information.
We will not sell your personal information.
What is Personal Information?
Personal information is any information that identifies an individual. This includes an individual's address, age, financial records, social insurance number, credit history, personal email address, employment information, financial information, home telephone number, occupation, date of birth, country of citizenship, bank references and types of accounts at brokerage firms.
We Will Obtain Your Permission
We will only collect, use or disclose your personal information with your consent. You can give your consent in writing, when you open an account, or you can give your consent verbally, electronically or through your authorized representative. We may also obtain it through dealers, credit bureaus or other financial institutions. If we don't obtain information directly from you, we will ensure that you have given us your consent before we collect and use your personal information.
You may withdraw your permission to collect, use and disclose your personal information at any time, subject to legal and contractual restrictions and reasonable notice. However, your ability to access our products and services may be limited and declined should you refuse or withdraw your consent to the collection, use and disclosure of your personal information. For example, we must decline to accept or administer an account for a person who does not consent to our disclosing personal information to back-office third party providers.
Collection of Personal Information
We collect personal information about you from: (i) subscription forms and other information provided by you in writing, by telephone, in person, electronically or by other means; (ii) your activity on the web site and transactional activity in your accounts, including account balances, investments, withdrawals and fees/commissions; (iii) through your advisor, if you have one, and (iii) other interactions with us, such as discussions with our staff.
Collection of Personal Information
As a fund manger, we may use personal information to:
* identify the investor;
* ensure our records are accurate;
* establish and administer an investor's account(s);
* execute transactions;
* maintain, store, record and determine investor account holdings and transaction records;
* provide investors and their authorized advisors with statements/information;
* provide investors with financial statements, tax receipts, proxy mailings, transaction confirmations and other information that may be requested or needed to service their accounts;
* provide investors with customer service and support;
* for debt recovery; and
* to comply with legal and regulatory requirements.
Whom do we Disclose Personal Information to?
Your personal information will only be used for the purpose(s) for which it was collected. We may, as required by law, share personal information with third party service providers, such as those who print and prepare investment statements. We have legal agreements with third party providers to ensure that they protect your personal information. We may also have to by law provide information for a search warrant, court order or other legally valid request. We may also disclose personal information to help us collect a debt owed by the investor.
Access and Accuracy of Consent to Information
You have the right to verify the accuracy and completeness of your personal information. If you believe that any information we have collected about you is inaccurate or incomplete, you have the right to ask us to correct it. Sometimes, we may not be able to provide you with information if it contains references to third parties, is subject to legal privilege, is our proprietary information or relates to an investigation.
Any request to access, withdraw consent to or update information may be made by forwarding a written request to the Privacy Officer. Please include your full name, address, telephone number and account number(s) on any correspondence to us. We will respond to your request as quickly as possible but, in any event, no later than 30 days from receiving your request.
Protecting Client Information
We will maintain the security and confidentiality of personal information. We have policies, procedures and safeguards to protect your personal information against unauthorized access, theft or misuse. Security measures include physical, electronic and procedural safeguards such as passwords and restricted access to our office.
Our employees and service providers have access to personal information to enable them to perform their duties. As a condition of employment, each employee must sign a code of conduct which includes provisions ensuring the confidentiality of personal information.
How Long do we Keep Your Information?
We only keep your information as long as it is necessary to do so. The length of time we keep your information will depend upon the product or service and the nature of the information and will be only as long as it is legally necessary for us to retain sufficient information to respond to any inquiries that may arise later.
Resolving Your Concerns
Inquiries and complaints will be reviewed by Kevin S. Beatson, Privacy Officer. For more information, please contact Kevin S. Beatson by kbeatson@horizonsetfs.com
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