Fillable AUTHORIZED TRADING AGENT - Order Execution Only Account (BMO)

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AUTHORIZED TRADING AGENT - Order Execution Only Account (BMO)

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The AUTHORIZED TRADING AGENT - Order Execution Only Account (BMO) form is 2 pages long and contains:

  • 5 signatures
  • 18 check-boxes
  • 75 other fields

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File type: PDF

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1
AUTHORIZED TRADING AGENT
IMPORTANT: If you are revoking your existing Trading Agent appointment, please attach a written notice to that effect.
Account Type
ACCOUNT DETAILS
to act as my/our Authorized Trading Agent (TA) in fact for my/
our account(s) with you. My/Our agent as the case may be, will have the scope of power as outlined in Section One, Part D of the Client Agreement.
A
TELL US ABOUT YOUR TA
TA’S SPOUSE or common-law partner
FOR OPTIONS account applications
B
C
D
Citizenship Country of Residence
Last Name First Name
Title
of TA
of TA
Initials
Please enter your name exactly as it appears on your government-issued photo ID.
Relationship
to Applicant
Is the TA the prime contact? Yes No
Primary residence address Suite City or
(if different from applicant)
No. Town
Prov.
(No., street, P.O. Box address is not allowed)
Postal
TA Home Phone TA Business Phone
Code
(area code, no.) (area code, no., ext.)
Fax
Other Daytime
No.
Phone
Email
Marital
Status
Employment
Self employed Unemployed
Status
TA Date of Birth
(YY/MM/DD)
Full-time (30 hours or more per week) Part-time (Less than 30 hours per week)
Retired
Casual/Contract
Seasonal
Occupation
Employer
Name
Industry
Employer
’s Address
Suite
(number, street)
No.
City or
Postal
Town
Prov.
Code
Last First
Title
Name Name
Initials
Employer
Occupation
Name
Industry
TA INFORMATION
1. Number of years trading in options:
2.
Expert Knowledgeable
How would you describe your options trading knowledge? Limited None
Experience with: None Long Calls or Puts Covered
Naked Spreads
I have received the Risk Disclosure Statement for Futures and Options (Section Four, Part G of the Client Agreements). I understand the special risks pertaining to trading in
options and that BMO InvestorLine Inc. is not registered to trade in futures. I declare that I have adequate financial resources to sustain any such transaction in which I
participate.
TA’s ___________________________________________________________________________________________________
Signature
®
Registered trade-marks of Bank of Montreal, used under licence.
BMO InvestorLine Inc. is a wholly owned subsidiary of Bank of Montreal.
Member – Canadian Inves
tor Protection Fund and Member of the Investment Industry Regulatory Organization of Canada.
Date
YY/MM/DD
Order Execution Only Account
0007-SD-E (03/20)
Account Number
Account Type:
Account Number
Account Type
Account Number
Account Type
Accounts:
Account Number
I/We here by appoint
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2
TA INFORMATION
1. Are you, or your spouse/common-law partner:
a.
An insider, director or senior officer (i.e. an officer or one of the five highest paid employees) of a publicly traded (exchange or over-the-counter) company or affiliate of such a company?
Or
Individually, or as part of a group, own more than 10% of the voting rights attached to all voting securities?
Yes
No
Company Name(s):
If yes, are you a Reporting Insider under Canadian securities legislation?
Yes
No
Company Name(s):
b.
Separately or in combination with other persons, a holder of more than 20% of the outstanding voting securities of a publicly traded (exchange or over-the-counter) company
or affiliate of such a company?
Yes
No
Company Name(s):
c.
Individually, or as part of a group, a member with controlling interest in a publicly traded (exchange or over-the-counter) company or affiliate of such a company?
Yes
No
Company Name(s):
2. Do you have, or exercise authority over, any brokerage accounts with other financial institutions?
Yes Financial institution(s):
No Account Type: Account Type:
3. Do you have, or exercise authority over, any accounts with BMO InvestorLine?
Yes
No Account #1: Account #2:
Sign only if you want another person to have access to your account.
The signatures on this form must be witnessed by someone other than the applicant, co-applicant, agent, attorney, spouse or common-law partner of any of these persons. One
witness per signature is enough. A witness can witness more than one signature.
By signing below, the Applicant agrees to receive all account statements, trade confirmations, and applicable mutual fund documentation via eDocuments only.
Co-applicant’s Signature
(if applicable)
Applicant’s
Signature
TA's Acceptance
I certify that the information in this application is true and complete and I have received and agree to the terms and conditions as outlined in the Client Agreements (https://
www.bmoinvestorline.com/selfDirected/pdfs/ClientAgreements_SD_E.pdf). I also agree to advise you immediately in writing of any material change in my information.
TA’s ____________________________________________________________________________________________________
Signature
Please provide a verified photocopy of 1 piece of Federal, Provincial or Territorial government issued photo ID.
Witness Signature(s)
Name of
Witness
Witness Signature
Witness ________________________________________________________________________________________________
Address
Date
YY/MM/DD
BRANCH INFORMATION
I have verified all and included a photocopy of a valid photo ID.
Phone (area code, no., ext.)
Name of Branch Representative (please print)
PLEASE PROVIDE DETAILS if your TA answers YES to the following questions
CLIENT’S AUTHORIZATION and TA acceptance
OFFICE USE ONLY
E
F
G
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AUTHORIZED TRADING AGENT - Order Execution Only Account (BMO)

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Completed 20 August 2020

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