Fillable Account application Self-Managed Investing

Fill Online, Printable, Fillable, Blank Account application Self-Managed Investing Form

Use Fill to complete blank online OTHERS pdf forms for free. Once completed you can sign your fillable form or send for signing. All forms are printable and downloadable.

Account application Self-Managed Investing

On average this form takes 101 minutes to complete

The Account application Self-Managed Investing form is 19 pages long and contains:

  • 0 signatures
  • 202 check-boxes
  • 311 other fields

Country of origin: OTHERS
File type: PDF

BROWSE OTHERS FORMS

Related forms
Fill has a huge library of thousands of forms all set up to be filled in easily and signed.
Fill in your chosen form
Sign the form using our drawing tool
Send to someone else to fill in and sign.
find another form
 
Self-Managed Investing
Account application
Corporations
Partnerships
Associations
Sole proprietorships
Investment clubs
PAGE 2
SCOTIA iTRADE NON-PERSONAL ACCOUNT
ORDER EXECUTION ONLY ACCOUNT
ACCOUNT APPLICATION PROCESS
1. Complete the application as follows:
2. Attach additional documents as required
3. For regulatory purposes,
attach a legible photocopy of one piece of identification*; and if the following persons do
not have a Scotiabank account, a personal cheque for deposit drawn on a Canadian financial institution in the amount of
$1.00 is also required:
For each Trading Authority. As secondary identification verification we are required to confirm that each Trading
Authority has a Credit Bureau history extending back more than six months. If you do not meet this requirement your
photo identification must be physically verified by Scotiabank branch personnel.
For a Partnership, each Partner
For a Sole Proprietorship, the Owner
For an Investment Club, each Member
For a Corporation, each Officer/Authorized Person/Controlling Beneficial Owner
A cheque for $1.00 drawn on the organization is also required for deposit
*Only a valid driver’s licence, passport, provincial health insurance card (except ON, MB, NS and PEI), Canadian citizenship
card, permanent residence card, Canadian Forces identification card or age of majority card are acceptable forms of
identification.
- Information about the organization and type of account (pages 3 to 8)
- Information about individuals with trading authority or who will guarantee the account (pages 9 to 11)
- Sign the customer agreement (page 13)
FOR A TRADING AUTHORITY:
■
Trading Authorization Form #8206317
FOR A PARTNERSHIP:
■
Certificate of Registration Declaration
■
of Beneficial Ownership #8207011
FOR AN ASSOCIATION:
■
Certificate of Registration
■
A copy of the Minutes of Appointment
■
CAW-8BEN-E Certificate of Status of Beneficial
Owner for United States Tax Withholding and
Reporting (Entities) #8988015
FOR A CORPORATION/PERSONAL HOLDING COMPANY
■
A copy of the Articles of Incorporation
■
Annual filing of Certificate of Corporate Status
■
Guarantee Form #8209111
(included on page 14 in this application)
A personal guarantee is required for a Corporation.
■
Certificate of Notary Public (Alberta only) #8209219
■
Declaration of Beneficial Ownership #8207216
(included on page 16 in this application)
FOR A SOLE PROPRIETORSHIP:
■
Certificate of Registration
FOR A CORPORATION, PERSONAL HOLDING CO.:
■
Declaration of Beneficial Ownership #8207216
(included on page 16 in this application)
FOR AN INVESTMENT CLUB:
■
A copy of the Club’s Constitution
and/or
■
A copy of the Minutes of Appointment
■
Declaration of Beneficial Ownership #8207011
FOR ENTITIES ORGANIZED OR INCORPORATED IN THE U.S. OR IF ANY
PARTNERS, MEMBERS, OR SOLE OWNER HAVE U.S. CITIZENSHIP:
■
A W9 Form for U.S. taxation purposes #8208816
IF YOU ARE TRANSFERRING MONIES OR SECURITIES TO SCOTIA iTRADE
FROM ANOTHER INSTITUTION:
■
Transfer Authorization for Non-Registered
Investments Form #8207410
YOUR ACCOUNT COVERAGE
4. Sign the application including additional documentation, and either drop off at your local Scotiabank branch or mail to:
Scotia iTRADE
P.O. Box 4002 Station A
Toronto ON M5W 0G4
5. We will contact the designated contact person upon review of this application. Approved applicants will receive a
welcome kit in the mail.
Call 1-888-872-3388 if you have any questions. All forms are available online
at www.scotiaitrade.com and at your local Scotiabank branch.
In this application, the terms you, your and I, refer to the customer; and the terms we, our, and us, refer to Scotia iTRADE,
a division of Scotia Capital Inc. These terms, however, do not apply to the Shareholder Communication Instructions in this application, as
prescribed by National Instrument 54-101, adopted by the Canadian Securities Administrators.
Scotia iTRADE is a division of Scotia Capital Inc. Scotia Capital Inc. is a separate but wholly-owned subsidiary of The Bank of Nova Scotia. Cash
and securities held in or sold through your Scotia iTRADE account, are not insured by The Bank of Nova Scotia, Canada Deposit Insurance
Corporation or any other government deposit insurer.
Customers’ accounts are protected by the Canadian Investor Protection Fund within specified limits. A brochure describing the nature and limits
of coverage is available upon request.
PAGE 3
Please note that Scotia iTRADE does not provide recommendations to you and does not accept any responsibility to advise you on
the suitability of any of your investment decisions or transactions. You are responsible for your investment decisions, as well as for
any profits or losses that may arise, and Scotia iTRADE will not consider your financial situation, investment knowledge, investment
objectives and risk tolerance when processing orders placed by you.
IS THE LEGAL ENTITY SETUP AS A COMPLEX STRUCTURE/HOLDING VEICHLE (E.G. COMPLEX LEGAL STRUCTURES MAY MAKE ULTIMATE BENEFICIAL OWNERSHIP
("UBO") DIFFICULT TO IDENTITFY AND/OR MAY HAVE NO BUSINESS RELATED PURPOSE)?
YES NO
INFORMATION ABOUT THE ORGANIZATION
ORGANIZATION’S FULL NAME
LEGAL ENTITY TYPE
SOLE PROPRIETORSHIP
INVESTMENT CLUB
INVESTMENT COUNSELLOR (DAP) COLLECTIVE INVESTMENT VEHICLE
PERSONAL HOLDING COMPANY OR NON-OPERATING PRIVATE COMPANY
COMPANY/CORPORATION (ACCEPTABLE INSTITUTION/ACCEPTABLE COUNTERPARTY) (SELECT ONE OF THE FOLLOWING)
PARTNERSHIP
COMPANY/CORPORATION (SELECT ONE OF THE FOLLOWING)
CORPORATION
INSURANCE COMPANY
IS THE CORPORATION AN
IS THE PARTNERSHIP A LIMITED PARTNERSHIP?
NOTE: WHERE THE CORPORATION IS AN INSURANCE COMPANY, TRUST COMPANY, CENTRAL CREDIT UNION & REGIONAL, CAISSE POPULAIRE, CANADIAN CHARTERED
BANK, QUEBEC SA
VINGS BANK, PENSION FUND, FOREIGN BANK, OR A QUALIFIED INTERMEDIARY, DO NOT CLASSIFY AS AN ACTIVE OR PASSIVE ENTITY.
NOTE: MARGIN OR OPTIONS ACCOUNTS ARE NOT PERMITTED FOR WAIVER OF A PERSONAL GUARANTEE. WAIVER OF A PERSONAL GUARANTEE IS APPLICABLE ONL
Y
FOR COMPANY/CORPORATION AND PERSONAL HOLDING COMPANY OR NON-OPERATING PRIVATE COMPANY.
IS THE PARTNERSHIP AN
CDN CHARTERED BANKS & QSB
BANK
CREDIT OR CAISSE POPULAIRE
ACCEPTABLE INSTITUTION/ACCEPTABLE COUNTERPARTY NAME AS IT APPEARS ON HTTP://AIAC.IIROC.CA/:
OTHER
CORPORATION CROWN CORPORATION TRUST COMPANY INSURANCE PENSION FUND
TRUST COMPANY
PENSION FUNDS
CENTRAL CREDIT UNION & REGIONAL
ACTIVE ENTITY OR A
YES NO
PASSIVE ENTITY (SEE DEFINITION OF ACTIVE AND PASSIVE ENTITY ON PAGE 5)
ACTIVE ENTITY OR A PASSIVE ENTITY (SEE DEFINITION OF ACTIVE AND PASSIVE ENTITY ON PAGE 5)
ACTIVE ENTITY OR AIS THE COMPANY AN PASSIVE ENTITY (SEE DEFINITION OF ACTIVE AND PASSIVE ENTITY ON PAGE 5)
CAISSE POPULAIRE
FOREIGN BANK
COMMITTEE
PUBLIC TRUSTEE GOVERNMENT OR INTERNATIONAL ORGANIZATION
IS THE LEGAL ENTITY CONSIDERED A QUALIFIED INTERMEDIARY (QI)?
IF YES, INDICATE WITHHOLDING TYPE:
FULL WITHHOLDING OR
NON-WITHHOLDING
IF YOU HAVE BEEN ISSUED A GLOBAL INTERMEDIARY IDENTIFICATION NUMBER (GIIN) ENTER HERE: • • •
IS THE LEGAL ENTITY ELIGIBLE FOR A WAIVER OF A PERSONAL GUARANTEE?
(MUST BE 19 CHARACTERS IN LENGTH) IF YOU HAVE APPLIED FOR A GIIN AND IT HAS NOT YET BEEN ISSUED, LEAVE BLANK.
YES
NO
YES NO
1.
If you do not have a TIN for one of the below noted jurisdictions, please indicate one of the following reason codes:
Reason Code 1: I will apply or have applied for a TIN, but have not yet received it (TIN is required within a year)
Reason Code 2: My jurisdiction of tax residence does not issue TINs to its residents
Reason Code 3: Other - Specify (TIN is required within a year)
2.
3.
TIN
TIN
TIN
Reason Code
Reason Code
Reason Code
Other - specify
Other - specify
Other - specify
Was the deceased a tax resident of a jurisdiction other than Canada or the U.S.?
No Yes If yes, list up to three jurisdictions
and the Tax Identification Number (TIN).
ESTATE (NON-REGISTERED ONLY) LIQUIDATED MAINTAINED
YES NO
YES NO
WAS THE DECEASED A TAX RESIDENT OR CITIZEN OF THE U.S?
WAS THE ESTATE CREATED BY A WILL?
WRITTEN TRUST
GRANTOR TRUST
IS THE GRANTOR ALIVE AND A TAX RESIDENT OR CITIZEN OF THE U.S.?
IF YES, PROVIDE THEIR SSN/TIN AND ALSO COMPLETE A W-9 REQUEST FOR TAXPAYER IDENTIFICATION NUMBER AND CERTIFICATION FORM.
SIMPLE TRUST COMPLEX TRUST RETIREMENT COMPENSATION ARRANGEMENT
IS THE WRITTEN TRUST AN ACTIVE ENTITY OR A PASSIVE ENTITY (SEE DEFINITION OF ACTIVE AND PASSIVE ENTITY ON
PAGE 5 – NOT APPLICABLE FOR U.S. TRUST)
U.S. TRUST
YES NO
PAGE 4
NON-PROFIT ORGANIZATIONS
PRIVATE FOUNDATION
INDICATE TAX IDENTIFICATION NUMBER:
IS THE LEGAL ENTITY TAX EXEMPT?
IF YES, INDICATE THE CHARITY’S OR NPO'S REGISTRATION NUMBER WITH CRA:
IF NO, ALSO COMPLETE A CAW-8BEN-E CERTIFICATE OF STATUS OF BENEFICIAL OWNER FOR UNITED STATES TAX WITHHOLDING AND REPORTING (ENTITIES) FORM
IS THE FOUNDATION TAXABLE AT 4% ON U.S. INCOME
DOES THE ABOVE NON-PROFIT ORGANIZATION SOLICIT OR ACCEPT CHARITABLE FINANCIAL DONATIONS FROM THE PUBLIC?
PLEASE PROVIDE PRINCIPAL DONORS (PERSONS OR ENTITIES) THAT HAVE DONATED 25% OR MORE OF THE ENTITY'S TOTAL CONTRIBUTIONS WITHIN THE
PROCEEDING YEAR. PLEASE PROVIDE THE FULL NAME (FIRST NAME, MIDDLE INITIAL AND LAST NAME) OR LEGAL ENTITY NAME.
1.
3.
SCHOOL BOARD
HOSPITAL
RELIGIOUS ORGANIZATION
REGISTERED CHARITY; AND
NON-PROFIT ORGANIZATION/ASSOCIATION/OTHER
YES NO
YES NO
PUBLIC PRIVATE
PUBLIC PRIVATE
YES NO
2.
4.
MUNICIPALITY CONDOMINIUM CORPORATION
POPULATION UNDER 50,000
Embassy, mission, consulate and/or other official diplomatic body. If yes, please indicate home country:
POPULATION OVER 50,000
PAGE 5
Does the legal entity operate or exercise control over any of the following types of business? Check all that apply.
PROVINCE POSTAL CODECITY
MAILING ADDRESS IF DIFFERENT FROM ABOVE
IN WHICH JURISDICTION WAS THE ENTITY INCORPORATED/ESTABLISHED?
White-label ATM operator
Travel agency
Virtual importer / exporter
Dealer in jewellery / gems / precious metals
Shipping company - Defined as non-land based transnational
commercial freight carriers
Casino, betting or other gaming related business
Licensed firearms retailer, in the business of sales of firearms,
ammunition and related accessories
Offshore bank
Money services business
Third party non-bank financial institution
Third party correspondent bank
Cash-intensive businesses
Marijuana related businesses, which include those that
are involved in the cultivation, processing / preparation,
and sales / distribution of marijuana
IN WHICH COUNTRIES IS THE LEGAL ENTITY DOING BUSINESS? THIS INCLUDES, FOR EXAMPLE: SENDING/RECEIVING PAYMENTS FROM CLIENTS, SUPPLIERS AND
SERVICE PROVIDERS AND AFFILIATES.
Clients
1.
4.
2.
5.
3.
6.
Suppliers
Operations
1.
4.
2.
5.
3.
6.
1.
4.
2.
5.
3.
6.
Active Entity
Passive Entity
A passive entity is any entity that is neither
a financial institution nor an active entity.
Passive income is generally understood to include income from the mere holding of property, such as interest, dividends, rents and royalties.
DEFINITION OF ACTIVE AND PASSIVE ENTITY
• The entity is Non-U.S. and is not a financial institution;
• Entities for which less than 50% of the gross income for the preceding calendar year was passive income and
less than 50% of the assets
held by the entity during the preceding calendar year were assets that produced passive income;
• Corporations with shares that regularly trade on an established securities market;
• Government or international organizations or agencies thereof and registered charities.
LEGAL ENTITY ADDRESS
STREET ADDRESS/LEGAL ADDRESS (ADDRESS CANNOT BE A POST OFFICE BOX)
LEGAL ENTITY ADDRESS DOING BUSINESS AS (NAME LEGAL ENTITY OPERATES UNDER)
CITY PROVINCE
POSTAL CODE
EMAIL ADDRESS
DESIGNATED CONTACT PERSON BUSINESS PHONE NUMBER
PRINCIPAL BUSINESS OR INDUSTRY
EXT.
C/O
BUSINESS NUMBER (BN) OR TRUST NUMBER (TN) ON TAX RETURN
(SEE DEFINITION OF U.S. PERSON ON PAGE 8)
Is the entity incorporated or organized in the U.S.A.?
U.S ENTITIES AND EACH PARTNER, TRUSTEE OR CLUB MEMBER WHO IS A U.S. PERSON
Yes
Are any of the partners in the partnership a U.S. Person?
Is the trustee for the estate or written trust a U.S. Person?
Is the club member for the investment club a U.S. Person?
If yes is selected for any of the above questions, also complete a CAW-9 Request for Taxpayer Identification Number and Certification
form.
What is your language preference for telephone customer service?
Is this entity considered to be an Insider (as defined in a Provincial Securities Act)
of any public companies?
Does anyone else other than the entity and its owners have a financial interest in this account?
IF YES, WHAT IS THE NAME OF THE COMPANY(IES)?
IF YES, WHAT IS THE NAME OF THE COMPANY(IES)?
IF YES, ENTER THE NAME(S) HERE
IF YES, WHAT IS THE ACCOUNT NUMBER(S)?
IF YES, WHAT IS THE NAME OF THE SECURITIES FIRM?
Does this entity own any other accounts with Scotia iTRADE?
Does this entity own any accounts with another securities firm?
Is this entity in a control position (as defined in a Provincial Securities Act) of any public companies?
Yes
Yes
Yes
No
No
No
No
YES NO
YES NO
YES NO
YES NO
YES NO
HOW DID YOU HEAR ABOUT US?
INFORMATION REQUIRED BY SECURITIES REGULATORS AND COMPLIANCE
SCOTIABANK BRANCH
STATEMENT ENCLOSURE OR OTHER MAIL
ENGLISH
FRENCH CANTONESE MANDARIN
PERSONAL REFERRAL
INTERNET
NEWSPAPER / MAGAZINE AD OTHER,
SPECIFY
PAGE 6
GROSS ANNUAL INCOME/ REVENUE FROM ALL SOURCES
ESTIMA
TED NET WORTH OF ENTITY
Net Liquid Assets
Net Fixed Assets
(Cash and securities minus current liabilities)
(Fixed assets minus loans outstanding against fixed assets)
Total Net Worth
A
B
(A + B)
$
FINANCIAL INFORMATION
1.
If you do not have a TIN for one of the below noted jurisdictions, please indicate one of the following reason codes:
Reason Code 1: I will apply or have applied for a TIN, but have not yet received it (TIN is required within a year)
Reason Code 2: My jurisdiction of tax residence does not issue TINs to its residents
Reason Code 3: Other - Specify (TIN is required within a year)
2.
3.
TIN
TIN
TIN
Reason Code
Reason Code
Reason Code
Other - specify
Other - specify
Other - specify
Are you a tax resident or citizen of the U.S.? No Yes
Is the entity a tax resident of a jurisdiction other than Canada or the U.S.? No Yes If yes, list up to three jurisdictions and the Tax
Identification Number (TIN).
If yes, you must provide your SSN/TIN and also complete a W-9 Request for Taxpayer Identification Number and Certification form.
PAGE 7
Scotiabank recognizes the importance of your information and never takes for granted the trust that you have placed in us in order
to protect that information. Scotiabank works hard to treat your information in a secure and respectful manner.
To serve you better and/or provide you with personalized wealth management advice tailored to your needs and goals, we
[1]
would
like your consent to share your information with select professionals within any current or newly acquired members of the
Scotiabank group of companies
[2]
.
Why we share your information: We collect, use and share your information to better understand your needs and goals, offer
products and services to help meet those needs and goals, and set up or manage products and services that you select.
What information we share about you: We may share any information we have collected about you and your authorized
representatives, including your type of business, number of employees, tax filing information and contact details for your
authorized representatives.
Your choices and rights: Your consent to share is not a condition of receiving any Scotiabank products or services. At any time,
you may tell us to stop sharing your information for purposes that are not directly related to the ongoing provision of existing
products or services and we will then only share your name and any limited information necessary to communicate your sharing
preferences.
Your consent to share: Your choice below will replace any previous consents to share information that you may have provided to us.
[1]
“We” or “us” refers to The Bank of Nova Scotia Trust Company (Scotiatrust
®
); Private Investment Counsel, a service of 1832 Asset
Management L.P.; ScotiaMcLeod
®
, a division of Scotia Capital Inc.; and Scotia iTRADE
®
, a division of Scotia Capital Inc.
[2]
The Scotiabank group of companies includes The Bank of Nova Scotia (Scotiabank
®
); Tangerine Bank, The Bank of Nova Scotia Trust
Company (Scotiatrust
®
); Private Investment Counsel, a service of 1832 Asset Management L.P.; ScotiaMcLeod
®
, a division of Scotia Capital
Inc.; Scotia iTRADE
®
, a division of Scotia Capital Inc.; Jarislowsky, Fraser Limited; and the MD Group of Companies (including MD Financial
Management Inc., MD Management Limited and MD Private Trust Company).
CARE AND MANAGEMENT OF YOUR ACCOUNT (NOT APPLICABLE TO TRADING AUTHORITY)
I consent to share information. I do not consent to share information.
Your Name
Your Address
Cheque No.
PAY TO THE
ORDER OF
$
MEMO
Cheque No.
###
DATE
/100 DOLLARS
Banking Institution Name
Branch Address
Branch Transit No.
Bank Account No.
Type of Account
Chq Svgs
Currency
CDN U.S.
Does the legal entity have an association or connection with a Politically Exposed Person ("PEP") defined as any entity that has been formed by a
PEP, or for the benefit of a PEP, or controlled by a PEP or is beneficially owned by a defined PEP?
If yes, please provide the following:
Banking information is required by Securities Regulators. Please enter the entity’s bank account information in the white
boxes below. In addition, this bank account may be used for transfers to and from your Scotia iTRADE Account (e.g. trade
payment, settlement proceeds, pre-authorized contributions etc.).
Please enter entity bank account details in the white boxes below. This information can be found on most
cheques.
BANKING INFORMATION
Yes No
PEP NAME (TITLE/FIRST/MIDDLE/LAST NAME)
NATURE OF THE PEP'S POSITION OR OFFICE
DESCRIPTION OF THE PEP'S OFFICIAL DUTIES
DATES (SPAN OF YEARS) POSITION HELD
RELATIONSHIP TO CLIENT
COUNTRY WHERE POSITION IS/WAS HELD
PAGE 8
PART 2 - RECEIVING SECURITYHOLDER MATERIALS
I WANT
to receive ALL securityholder materials sent to beneficial owners of securities.
to receive ALL securityholder materials sent to beneficial owners of securities. (Even if I decline to receive
these types of materials, I understand that a reporting issuer or other person or company is entitled to send
these materials to me at its expense.)
to receive ONLY proxy-related materials that are sent in connection with a special meeting.
Important Note: These instructions do not apply to any specific request you give or may have given to a
reporting issuer concerning the sending of interim financial statements of the reporting issuer. In addition,
in some circumstances, the instructions you give in this client response form will not apply to annual
reports or financial statements of an investment fund that are not part of proxy-related materials. An
investment fund is also entitled to obtain specific instructions from you on whether you wish to receive its
annual report or financial statements, and where you provide specific instructions, the instructions in this
form with respect to financial statements will not apply.
I DECLINE
I WANT
PART 1 - DISCLOSURE OF BENEFICIAL OWNERSHIP INFORMATION
I DO NOT OBJECT to the disclosure of my name, address, electronic mail address, securities holdings and preferred
language of communication (English or French) (my account information) to issuers of securities held with you and to
other persons or companies in accordance with securities law.
I OBJECT to the disclosure of my account information as noted above. I understand that by objecting to this disclosure,
certain materials may still be required by law to be sent to me, and that I may have to pay the mailing and handling
costs of having these materials provided to me.
SHAREHOLDER COMMUNICATION INSTRUCTIONS
You may elect to receive your statements, annual trading summaries, trade confirmations and regulatory materials
(prospectuses) via Scotia iTRADE’s website instead of a printed version by enrolling in Scotia eDocuments. To enrol in this
service, select the option below. If this is your first time using Scotia eDocuments, you will be required to sign the Terms
for Electronic Document Delivery through Scotia iTRADE’s website.
Do you want us to transfer any assets from another financial institution?
Would you like to enrol in Scotia eDocuments?
In which currency would you prefer to settle your transactions?
WHAT IS THE APPROXIMATE DOLLAR AMOUNT OF YOUR INITIAL DEPOSIT FOR THIS ACCOUNT?
IF YES, COMPLETE THE TRANSFER AUTHORIZATION FOR NON-REGISTERED INVESTMENTS FORM.
WHAT IS THE APPROXIMATE DOLLAR AMOUNT OF ACCOUNT TRANSFER ASSET VALUE?
What is the intended use for this account?
Select the documents you would like to receive electronically.
TYPE OF ACCOUNT
INTENDED USE FOR THIS ACCOUNT
SETTLEMENT INSTRUCTIONS
INITIAL DEPOSIT
TRANSFER REQUESTS
SCOTIA eDOCUMENTS ENROLMENT
CASH ACCOUNT - ACCOUNT MUST HAVE SUFFICIENT FUNDS FOR PURCHASES
MARGIN ACCOUNT - ALLOWS YOU TO BORROW AGAINST THE ASSETS IN YOUR ACCOUNT
CASH OPTIMIZER INVESTMENT ACCOUNT
WITH SHORT SELLING?
WITH OPTIONS TRADING?
IF YES, I ACKNOWLEDGE THAT A MINIMUM OF $10,000 EQUITY WILL BE MAINTAINED.YES NO
YES NOIF YES, WHAT STRATEGIES DO YOU INTEND TO FOLLOW?
COVERED CALLS PURCHASING
PUTS AND CALLS
NAKED PUTS
NAKED CALLS
SPREADS
Short Term Investment
Long Term Investment
Income Generation
CDN$ U.S.$ THE CURRENCY OF THE MARKET IN WHICH THE SECURITY WAS TRADED.
Savings (Registered and Non-Registered)
Retirement Planning, Estate / Tax Planning
Other (Detailed description is mandatory):
Custody of Securities
Leverage, Hedging, Capital Preservation, Trusts, Protection of Assets
YES NO
YES NO
STATEMENTS TRADE CONFIRMATIONS & MUTUAL FUND PROSPECTUSES
PAGE 9
EMPLOYMENT INFORMATION
EMPLOYED RETIRED STUDENT SELF-EMPLOYED HOMEMAKER NOT WORKING OTHER
EMPLOYMENT STATUS
NAME OF EMPLOYER (IF RETIRED, FORMER EMPLOYER)
POSITION / OCCUPATION
INDUSTRY
YEARS WITH THIS EMPLOYER
EMPLOYER’S ADDRESS
CITY PROVINCE POSTAL CODE
Which number would you prefer we use to contact you during market hours?
STREET ADDRESS/LEGAL ADDRESS (ADDRESS CANNOT BE A POST OFFICE BOX)
ADDITIONAL ADDRESS INFORMATION
CITY PROVINCE POSTAL CODE
HOME PHONE NUMBER
CELL PHONE NUMBER
FAX NUMBER
BUSINESS PHONE NUMBER
EXT.
APT/SUITE NO.
PAGER NUMBER
PRIMARY EMAIL ADDRESS
RESIDENTIAL ADDRESS
BUSINESS HOME
BUSINESS
HOME
CELL
PART 3 - PREFERRED LANGUAGE OF COMMUNICATION
Will this account be used to conduct business on behalf of an entity other than the named entity?
ID NUMBER MOTHER’S MAIDEN SURNAME
TITLE
DATE OF BIRTH (MM/DD/YYYY) COUNTRY OF CITIZENSHIP
SSN/TIN*SOCIAL INSURANCE NUMBER (Required for online account access)
FIRST NAME INITIAL LAST NAME
My preferred language of communication is:
ENGLISH/FRENCH
I understand that the materials I receive will be in my preferred language of communication if the
materials are available in that language.
YES NO
ENGLISH FRENCH
OTHER INTEREST IN THIS ACCOUNT
INFORMATION ABOUT THE TRADING AUTHORITY
Please provide your ScotiaCard
number or Scotia iTRADE User
ID if you have one. We require
your Mother’s Maiden Surname
for future identification
purposes.
*If U.S. citizen or U.S.
dual citizen Social Security
Number (SSN) required.
Are you employed by the Scotiabank Group?
IF YES, SPECIFY.
YES NO
PAGE 10
TITLE
Do you or any members of your family or any close associates, currently hold or have held one of the
following offices or positions?If yes, choose the office or position below:
RELATION TO YOU
DATE(S) OF POSITION HELD (FROM MM-DD-YYYY TO MM-DD-YYYY) COUNTRY WHERE POSITION HELD
DESCRIPTION OF OFFICIAL DUTIES
FIRST NAME MIDDLE INITIAL LAST NAME
SELF
Head of Institute
NO
Member of a ruling family
Mayor of a Canadian Municipality
Head of a government agency
President of a state-owned company or bank
Head of an international organization established by the governments
of states
Leader or president of a political party in a legislature
Head of a charity
Head of State
Head of Government
Attaché
Member of an executive council of government
Deputy Minister (or equivalent)
Military rank of general or equivalent (or higher rank)
Judge of a supreme court
Ambassador
Counselor of an ambassador
Judge of an appellate court or local equivalent
Member of a legislature
YES If yes, choose the office or position below:
CHILD CLOSE ASSOCIATE
PARENT(S) SIBLING(S)
SPOUSE OR COMMON LAW PARTNER
SPOUSE OR COMMON LAW PARTNER'S PARENT(S)
Are you or your spouse considered to be an Insider (as defined in a Provincial Securities Act)
of any public companies?
Are you, or your spouse, singularily, or as part of a group, in a control position
(as defined in a Provincial Securities Act) of any public companies?
Are you, or your spouse an employee, Director, Partner or Officer of a member
of any Stock Exchange, IIROC Member firm or of a Stock Exchange itself?
Do you own, or have trading authority or an interest in another Scotia iTRADE?
Do you own, or have trading authority over any other accounts with another securities firm?
IF YES, WHAT IS THE NAME OF THE SECURITIES FIRM(S)?
IF YES, WHAT IS THE ACCOUNT NUMBER(S)?
IF YES, WHAT IS THE NAME OF THE COMPANY(IES)?
IF YES, WHAT IS THE NAME OF THE COMPANY(IES)?
IF YES, WHAT IS THE NAME OF THE COMPANY(IES)?
INFORMATION REQUIRED BY SECURITIES REGULATORS AND COMPLIANCE
YES NO
YES NO
YES NO
YES NO
YES NO
Are you an Insider of Scotiabank or have you been advised that you are a Designated Person by
Scotiabank’s Compliance Department?
Are you or members of your household employed by an IIROC (Investment Industry Regulatory
Organization of Canada) Member Firm (Pro)?
Note: Certain conditions may apply to accounts for employees of firms in the securities industry
and accounts over which such persons have trading authority.
FINANCIAL INFORMATION
HAVE YOU OWNED OR TRADED?
Select your level of knowledge.
YES NO
YES NO
MUTUAL FUNDS
FIXED INCOME (OTHER THAN CSBs)
STOCKS
MARGIN
OPTIONS
SHORT SALES
OVERALL INVESTMENT EXPERIENCE
LOW
LOW
LOW
LOW
LOW
LOW
LOW
MODERATE
MODERATE
MODERATE
MODERATE
MODERATE
MODERATE
MODERATE
HIGH
HIGH
HIGH
HIGH
HIGH
HIGH
HIGH
IDENTIFICATION REQUIREMENTS
TYPE OF IDENTIFICATION DOCUMENT (SELECT ONE)
IDENTIFICATION DOCUMENT NUMBER
INFORMATION ABOUT THE GUARANTOR
TITLE
CITY
Are you an existing Scotia iTRADE client?
IF YES, WHAT IS THE ACCOUNT NUMBER?
Do you guarantee other Scotia iTRADE accounts?
YES NO
IF YES, WHAT IS THE ACCOUNT NUMBER(S)?
PROVINCE POSTAL CODE
STREET ADDRESS/LEGAL ADDRESS
(ADDRESS CANNOT BE A POST OFFICE BOX)
FIRST NAME INITIAL LAST NAME
DRIVER’S LICENCE PROV. HEALTH INSURANCE
CARD (EXCEPT ON, MB, NS AND PEI)
CANADIAN
CITIZENSHIP CARD
AGE OF MAJORITY
CARD
PASSPORT
YES NO
PAGE 11
INFORMATION ABOUT YOUR SPOUSE
MARITAL STATUS
BANKING INFORMATION
(OPTIONAL)
TITLE
EMPLOYMENT STATUS
EMPLOYER INDUSTRY
POSITION / OCCUPATION
FIRST NAME INITIAL LAST NAME
EMPLOYED
SINGLE MARRIED COMMON LAW DIVORCED LEGALLY SEPARATED WIDOWED
RETIRED STUDENT SELF-EMPLOYED HOMEMAKER NOT WORKING OTHER
Please enter your primary bank account details in the white boxes below. This information can be found on
most cheques.
Your Name
Your Address
Cheque No.
PAY TO THE
ORDER OF
$
MEMO
Cheque No.
###
DATE
/100 DOLLARS
Banking Institution Name
Branch Address
Branch Transit No. Bank Account No. Type of Account
Chq Svgs
Currency
CDN U.S.
PAGE 12
CUSTOMER AGREEMENT BY SIGNING, I CONFIRM THAT:
Order Execution Only Account
BY SIGNING, I CONFIRM THAT:
1. All of the information in this Application is complete, accurate and true, and I will promptly send written notice to Scotia iTRADE of any change in this information. I
verify that I have provided to you, and that all photocopies of identification submitted with this Application are true copies of valid identification of each trading
authority, partner, member, director, sole owner, or beneficial owner of greater than 10% of the legal entity to which this Application pertains (“Relevant Legal
Entity”).
2. I have read, understand, and agree to the terms of this Customer Agreement and all of the sections in the Scotia iTRADE Terms and Conditions brochure that apply to
this/these account(s).
3. I will provide a cheque for deposit drawn on the Relevant Legal Entity’s account at a Canadian financial institution. For each trading authority, partner, member,
officer/authorized person, sole owner, or beneficial owner of greater than 10% of the Relevant Legal Entity (each, a “Relevant Person”) who does not have a
Scotiabank account, I agree to provide a cheque for deposit drawn against each such Relevant Person’s own account at a Canadian financial institution to satisfy
Canadian Anti-Money Laundering requirements.
4. My Shareholder Communication Instructions are to be followed. I understand that my elections apply to all securities held in this/these account(s).
5. Scotia iTRADE reserves the right to restrict or limit trading activity in this/these account(s) at any time without notice to me. Scotia iTRADE may close this/these
account(s) if all required documentation in complete form is not received within two weeks of opening this/these account(s).
6. United States Withholding Tax-Limitation on Benefits Treaty Statement (“Treaty”): I/we meet all provisions of the Treaty that are necessary to claim a reduced rate of
withholding, including any limitation on benefits provisions, and I/we derive the U.S. source income within the meaning of section 894 of the Code, and the
regulations thereunder, as the beneficial owner(s). [Refer to the Scotia iTRADE Terms and Conditions brochure for details.]
7. If this account was a referral from a Scotiabank Group member, I understand that Scotia iTRADE may share personal information about this/these account(s) with the
referring Scotiabank Group member for the purposes of completing the referral, and I consent thereto. Any such sharing of personal information will be limited to
account opening and transfer-in particulars necessary to accurately recognize and track the referral.
8. If I have been referred to Scotia iTRADE by a person or entity within or outside the Scotiabank Group, a referral fee may be paid to that person or entity. In that case,
the referral arrangement will be the subject of and governed by a written agreement which the parties will enter into prior to implementation of the referral
arrangement, and details of the referral arrangement will be provided to me. It is illegal for the party receiving the referral fee to trade or advise in securities if it is not
duly licensed or registered under applicable securities legislation to do so.
9. Scotiabank recognizes the importance of clients’ information and never takes for granted the trust that clients have placed in Scotiabank in order to protect that
information. Scotiabank works hard to treat clients’ information in a secure and respectful manner. To serve clients better and/or provide them with personalized
wealth management advice tailored to their needs and goals, Scotiabank (in this section “Scotiabank” refers to The Bank of Nova Scotia Trust Company (Scotiatrust
®
);
Private Investment Counsel, a service of 1832 Asset Management L.P.; ScotiaMcLeod
®
, a division of Scotia Capital Inc.; and Scotia iTRADE
®
, a division of Scotia Capital
Inc.) would like the clients’ consent to share their information with select professionals within any current or newly acquired members of the Scotiabank group of
companies, which includes The Bank of Nova Scotia (Scotiabank
®
); Tangerine Bank, The Bank of Nova Scotia Trust Company (Scotiatrust
®
); Private Investment
Counsel, a service of 1832 Asset Management L.P.; ScotiaMcLeod
®
, a division of Scotia Capital Inc.; Scotia iTRADE
®
, a division of Scotia Capital Inc.; Jarislowsky, Fraser
Limited; and the MD Group of Companies (including MD Financial Management Inc., MD Management Limited and MD Private Trust Company). By signing below, I
consent to Scotiabank’s collection, use and sharing of the information about me and my authorized representatives, including my type of business, number of
employees, tax filing information and contact details for my authorized representatives, for the purposes of better understanding of my needs and goals, to offer
products and services to help meet those needs and goals, and set up or manage products and services that I select.
I understand that my consent to share is not a condition of receiving any Scotiabank products or services and that at any time, I may tell Scotiabank to stop sharing
my information for purposes that are not directly related to the ongoing provision of existing products or services and Scotiabank will then only share my name and
any limited information necessary to communicate my sharing preferences. I acknowledge that my choice of sharing or not sharing my personal information will
replace any previous consents to share information that I may have provided to Scotiabank.
Even if I do not consent to sharing of the information about me within the Scotiabank group of companies, I understand and acknowledge that if this account was a
referral from a Scotiabank group member, Scotia iTRADE may share personal information about my account with the referring member for the purposes of
completing the referral and I consent thereto. In such event, any such sharing of personal information will be limited to account opening and transfer-in particulars
necessary to accurately recognize and track the referral.
10. If I am resident in Quebec, I have requested that this Application and all documents relating to this Application and all documents relating to my account(s)
be in English. Au Quebec, les parties conviennent et exigent expressement que ce contrat ainsi que tous documents e tavis emis en vertu de celui-ci ou s’y
rattachant soient rediges en anglais.
11. Canada Revenue Agency Certification for Non-Residents of Canada
If I am a resident of a country other than Canada for tax purposes ("Tax Residency"), I hereby confirm and certify that I am the beneficial owner of and, to
the best of my knowledge, am entitled to the benefits of the tax treaty, if any, between Canada and my Tax Residency on all of this account's income. I agree
to immediately notify Scotia iTRADE of any changes to my Tax Residency, and I further agree to fully reimburse and indemnify Scotia iTRADE for any liability
that Scotia iTRADE may incur in connection with under withholding of tax based on my instructions. I hereby certify that the information provided on this
form is correct and complete. I authorize Scotia iTRADE to provide, directly or indirectly, to any relevant tax authorities or any party authorized to audit or
conduct a similar review of Scotia iTRADE for tax purposes, the information contained in this form and/or a copy of this form and to disclose to such tax
authorities or such party any additional information that Scotia iTRADE may have in its possession that is relevant to my qualification claimed on the basis of
this certification. I acknowledge that information contained in this form and information regarding my Scotia iTRADE accounts (including information on
account balances and payments received) may be reported to Canadian tax authorities, and that those tax authorities may provide the information to any
additional country I have listed above as being a country in which I am a resident for tax purposes. I undertake to advise Scotia iTRADE immediately of any
change in circumstances that causes the information contained herein to become incorrect and to provide Scotia iTRADE with an updated Tax Residency Self-
Certification form within 30 days of such change in circumstances. I understand that it is my obligation to provide Scotia iTRADE my TIN(s) at the time it is
requested. I understand that my failure to provide my TIN(s) may result in my incurring regulatory fines, either directly or indirectly.
ACKNOWLEDGEMENT
I acknowledge that Scotia iTRADE does not provide personal, client-specific or tailored investment advice or recommendations to me, make any determination of my
general investment needs and objectives or any of my investment decisions or transactions, and does not accept any responsibility to advise me on any of the foregoing. I
acknowledge that I am responsible for my investment decisions and transactions, as well as for any profits or losses that may arise, and Scotia iTRADE will not consider my
financial situation, investment knowledge, investment objectives and risk tolerance when accepting and processing orders placed by me.
I acknowledge that the use of leverage may not be suitable for all investors. Using borrowed money, whether through a margin account or any other method of
borrowing, to finance the purchase of securities involves greater risk than using cash resources only. If I borrow money to purchase securities, my responsibility to repay
the loan, pay interest, and meet margin calls as required by the margin terms remains the same even if the value of the securities purchased declines.
I acknowledge that Scotia Capital Inc. is a separate entity from the Bank of Nova Scotia. Unless otherwise advised, securities purchased from or through Scotia Capital Inc.
(a) are not insured by a government deposit insurer, (b) are not guaranteed by a Canadian financial institution, and (c) may fluctuate in value.
IF YOU ARE APPLYING FOR MARGIN TRADING, YOU MUST ALSO SIGN HERE
I am aware of the risks involved in trading on margin and am willing to take those risks. I have read, understand and agree to the terms and conditions of
margin trading contained within the Scotia iTRADE Relationship Disclosure Document and Terms and Conditions brochure.
SIGNATURE(S)
DATE (MM/DD/YYYY)
IF YOU ARE APPLYING FOR OPTION TRADING, YOU MUST ALSO SIGN HERE
I am aware of the risks involved in options trading and am willing to take those risks. I have read, understand and agree to the terms of the Risk Disclosure
Statement and Your Options Trading Agreement contained within the Scotia iTRADE Relationship Disclosure Document and Terms and Conditions.
SIGNATURE(S)
PAGE 13
DATE (MM/DD/YYYY)
SIGNATURE(S)
DATE (MM/DD/YYYY)
AUTHORIZED SIGNATORYDATE (MM/DD/YYYY)AUTHORIZED SIGNATORY
AUTHORIZED SIGNATORY DATE (MM/DD/YYYY) AUTHORIZED SIGNATORY
DATE (MM/DD/YYYY)AUTHORIZED SIGNATORY DATE (MM/DD/YYYY) AUTHORIZED SIGNATORY
Scotia iTRADE
®
(Order-Execution Only Accounts) is a division of Scotia Capital Inc. (“SCI”). SCI is a member of the Investment Industry Regulatory Organization of
Canada and the Canadian Investor Protection Fund. Scotia iTRADE does not provide investment advice or recommendations and investors are responsible for their own
investment decisions.
®
Registered trademark of The Bank of Nova Scotia. Used under license.
8980616 (01/21)
Download
Save PDF to desktop
Email
Email completed PDF
Send for Signing
Email for others to sign
Print
Print document
Choose a Field
Click on a field and
select the person that should complete it
Want to add a signature?
You can add a signature field
and assign it to someone else
to sign
Choose a Field
Click on a field and
select the person that should complete it

Account application Self-Managed Investing

This document is locked as it has been sent for signing.

You have successfully completed this document.

Other parties need to complete fields in the document. You will recieve an email notification when the document has been completed by all parties.

This document has been signed by all parties.

Completed 24 February 2021

Message

View Audit Log
Print With Audit Log
Duplicate Document