Fill - Free fillable SiT56 Non-Registered Account Transfer From Another Financial Institution PDF form

820 7410 (08/14)

elephone Number

Contact

Relinquishing Institution

Address

www.scotiaitrade.com

Client

Identification

Client Direction

to Relinquishing

Institution

*Please refer to statement in bold in Client Authorization section below:

All Cdn $ only US $ only Other

■ ■ ■ ■

ccount Number at Relinquishing Institution

Currency of Account(s) to Transfer

Receiving

Institution

Information

Last Name(s) or Non-Personal Name First Name(s) Initial

ddress City Province Postal Code

Social Insurance Number(s) Home Telephone Number Business Telephone Number

FOR USE BY RELIN-

QUISHING INSTITUTION

DELAY DELIVERY UNTIL

Investment Amount/Maturity Date

Investment Description

Symbol and/or Certificate No. or Policy Number

Investment Amount/Maturity Date

Investment Description

In Kind In Cash

■ ■

Shares/Unit Dollars

■ ■

In Kind In Cash

■ ■

Shares/Unit Dollars

■ ■

DELAY DELIVERY UNTIL

Client

Authorization

Please note:

We require a copy

of your most recent

statement.

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.

I hereby request and authorize the transfer of my account and its investments as described above.

Please cancel all open orders (G.T.C./SWF/PAC/AWD/SWP, etc.) for my account on your books.

* Where I have requested a transfer in cash, I authorize the liquidation of all or part of my investments, as indicated.

I agree to pay any applicable fees, commissions, charges, and adjustments as per disclosure related to this transfer.

Upon completion of this form, forward to applicable address in the receiving institution section above.

I have read the disclosure on reverse and authorize the transfer as above.

________________________________________________ _________________

Signature of Account Holder Date

________________________________________________ _________________

Signature of Account Holder (if Joint) Date

Non-Registered Account Transfer From

Another Financial Institution Request Form

Please note: The data entered on this form may be scanned and stored electronically. Please print

neatly in the spaces provided to ensure completeness, accuracy and machine readability.

SIGNATURE GUARANTEED

Scotia Capital Inc.

PER:

lease forward completed document to:

cotia iTRADE

P.O. Box 4002 Station A,

Toronto, ON

M5W 0G4

TRADE Client Account

uthorized Representative

ep. Code (if applicable)

gent Number (If applicable)

Group Plan Number (If applicable)

Scotia Capital Inc.

Scotia iTRADE

Transit 75168

.O. Box 4002

Station A,

oronto, ON

M5W 0G4

Dealer Code: 9155

LEAR STREAM #: 52065

FINS #: T085

DTC #: 5011

UID #: SCOT

Refer to Page 2

for definitions of

Transfer Types

This is my

authorization to

deliver to the

Receiving Institution,

the account you hold

for me and for the

Receiving Institution

to receive the account.

This includes all

securities long and

short and debit or

credit balance as

instructed. Delivery is

to be made by the

Receiving Institution

of all securities short

against payment.

These instructions are

given subject to the

Receiving Institution’s

approval of my

account.

■

All assets*, but mixed in cash and

■

Partial*

in kind on attached list

■

All in Kind

■

All in

■

Cash Balance - only as

(as is) Cash* at date of transfer by

Relinquishing Institution

TRANSFER TYPE (CHECK ONLY ONE BOX)

Listing Assets is not required for these options List Assets below or attach a list for these options

SiT56

In our business we are dedicated to continually improving client

service. This Client Disclosure document was developed to help you

understand the account transfer process. It is important to read this

document carefully before signing the section called CLIENT

UTHORIZATION on this Account Transfer form. Should you have any

questions after reading this section, please be sure to address your

inquiries to your Receiving Institution’s Representative.

What is the difference between “IN CASH” and

“IN KIND”?

“IN CASH” means that all your assets which are not currently held as

cash are to be liquidated, sold, redeemed, etc. in order that your

account can be transferred to the Receiving Institution in the form of

cash.

IT IS IMPORTANT TO NOTE THAT IF YOU HAVE INDICATED AN

“IN CASH” TRANSFER OF YOUR ACCOUNT, ALL TRADES WILL BE

EXECUTED AT MARKET. ALL TRADES WILL BE PLACED ON A

BEST EFFORTS BASIS SUBSEQUENT TO THE RECEIPT OF THE

TRANSFER FORM AND ARE SUBJECT TO NORMAL COMMISSION

CHARGES. IN ORDER TO AVOID DELAYS, YOU MAY PLACE

TRADES YOURSELF WITH THE RELINQUISHING INSTITUTION AT

THE TIME OF SIGNING THIS TRANSFER FORM.

“IN KIND” means that you want the assets in the account transferred,

as is. If you hold investments and a cash balance, then the

investments will be transferred as well as the cash balance in their

current state, if the assets can be transferred.

Transfer Types:

ALL IN KIND: All assets as is (a common type of transfer)

ALL IN CASH: All assets to be sold - cash proceeds and any cash

balance to be transferred.

CASH BALANCE: Only the existing cash portion of your account

transferred (at the date of transfer)

ALL ASSETS (mixed): All assets in the account to be transferred, but

some assets to be redeemed and transferred in cash and some as is to

be transferred in kind (assets to be transferred in kind or in cash must

be listed)

PARTIAL: Only some assets or cash transferred (assets or cash to be

transferred must be listed)

How long will my transfer take?

The time required to transfer the account will depend on the type of

asset you are transferring. Please note that all your assets may not be

transferred at the same time.

Types of Investment Products

For Stocks and Bonds

Under current IIROC guidelines, this type of transfer generally takes

between 10 - 25 business days from the time of receipt by the

Relinquishing Institution, subject to the exceptions below.

Non-IIROC member institutions may or may not observe similar

guidelines.

For Mutual Funds:

On average, Mutual Funds from other financial institutions (ATON)

take 5 - 10 business days from the time all necessary documentation

s received by the Receiving Institution. However, mutual fund

products may take longer to fully transfer.

For Guaranteed Income Certificates (GICs):

Often a Guaranteed Investment Certificate (including Term Deposits)

is not transferable “IN KIND” (as is) prior to its maturity. Most GICs

an be transferred in cash on their maturity. There are some

exceptions, please check the terms and conditions with the Institution

which issued your GIC.

Please note: Most Scotiabank Group issued GICs are readily

transferrable “IN KIND” within the Group.

Other Investments:

There are many other investments which may be non-transferable,

non-redeemable or delay the transfer of your account. These

investments include mortgages, foreign securities and non-

transferable bonds.

Rejected Transfers:

An account transfer request may be rejected by the Relinquishing

Institution for a number of reasons, such as, insufficient cash to cover

fees, account not in good standing, (i.e. under-margin, outstanding

short position). If your transfer has been rejected for any reason by

the Relinquishing Institution, they may return the transfer to the

Receiving Institution unprocessed. When the reason for a rejection

has been rectified, the transfer process will begin again and the

Relinquishing Institution may then have 10 - 25 business days, from

the date of receipt of the transfer documents to process the transfer.

How much will it cost to transfer my account?

Transfer Fees:

Most relinquishing institutions charge a fee, the cost of which

will vary. It is important to ensure that you have sufficient cash

available in your account at the Relinquishing Institution to cover

applicable transfer fees, or the Relinquishing Institution may reject the

transfer request which may result in a lengthy delay.

Glossary:

FINs = Financial Institution Number

DTC = Depository Trust Company

PAC = Pre-Authorized Chequing

SWF = Systematic Withdrawal Funds

G.T.C. = Good Till Cancelled

CUID = Customer Unit Identifier

IIROC = Investment Industry Regulatory Organization

of Canada

SWP = Systematic Withdrawal Plan

AWD = Automatic Withdrawal Plan

ACCOUNT TRANSFER CLIENT DISCLOSURE

Scotia iTRADE

1-888-TRADE88 (1-888-872-3388)

416-214-6457

Contact the following for Customer Service

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SiT56 Non-Registered Account Transfer From Another Financial Institution

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