Fillable Systematic DSC to Fee-for-Service Series Switching Client Authorization (Mackenzie Investments)

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Systematic DSC to Fee-for-Service Series Switching Client Authorization (Mackenzie Investments)

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Country of origin: CANADA
File type: PDF

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Account details
Client First Name Client Last Name Mackenzie account(s) number
Client Signature (not required for nominee accounts) Mackenzie account(s) number
Date (DD-MM-YY)
Joint Client
Joint Client First Name Joint Client Last Name Mackenzie account(s) number
Joint Client Signature (not required for nominee accounts) Mackenzie account(s) number
Date (DD-MM-YY)
Dealer Information
Dealer Firm Name Dealer Number
Advisor Name Advisor Number
Authorized Financial Advisor Signature Date (DD-MM-YY)
Systematic DSC to Fee-for-Service Series Switching Client Authorization Form
The service leverages Matured Unit Auto-Conversion and Preferred Pricing Services currently available at Mackenzie. The Matured Unit Auto-Conversion service
automates the conversion of deferred sales charge (“DSC”) units that have matured and become free of redemption fees (“Matured Units”) to the front-end sales charge
(“SCS”) purchase option of the same series of a fund. The Preferred Pricing Service automates the conversion of Matured Units and SCS Retail Series to the equivalent
Private Wealth Series of the same fund – once investors reach the asset threshold that meets the minimum eligibility requirements for Mackenzie’s Preferred Pricing,
their assets are automatically switched into the equivalent Private Wealth Series, as long as the combined management and administration fee in the Private Wealth
Series is lower.
The Systematic DSC to Fee-for-Service Switching service allows you to automatically convert Matured Units to the chosen fee-for-service series by leveraging the
Matured-Units Auto-Conversion service and allows you to automatically convert all qualified (for Preferred Pricing) Matured Units and Retail SCS Series directly to a
chosen fee-for-service series, leveraging the Preferred Pricing Service.
Overview of Service
As your securities that you originally purchased under a DSC purchase option mature and become free of redemption fees (“Matured Units”), this service allows you to
automatically switch them into the chosen fee-for-service series as indicated below. If you choose PWX, this service will not start until you have $100,000 in eligible
investments.
Note: If, after you sign up for this service, you subsequently qualify for Private Wealth Series (meaning that you have $100,000 in Eligible Investments, as defined in the
Prospectus, across your household), all of your Matured Units, as well as other retail series in your account with an embedded management and administration fee will
automatically be switched to your chosen fee-for-service series. If your chosen fee-for-service series is FB or FB5, everything will be automatically switched into series
PWFB or PWFB5, as applicable.
Instructions:
Please indicate in the table below ONE “To Series” selection for each “From Series” that you hold.
• If you do not qualify for Private Wealth Series at the time you sign up for this service, and you choose column 3, this service will not start until you have $100,000
in eligible investments.
• If you qualify for Private Wealth Series at the time that you sign up for this service, you may choose any of the “To Series” options in columns 1, 2 or 3.
• If you choose a fee-for-service series in column 2 and you subsequently reach $100,000 in Eligible Investments, your Series FB, or Series FB5 as the case may be,
will automatically be switched to series PWFB or PWFB5, with lower combined management and administration fees, as applicable.
Additional Terms and Conditions:
1. Each “From series” noted above may only be instructed to go to one
“To series” destination series at a time.
2. Switches from Matured units to the chosen fee-for-service series
will occur on the second Friday of every month, as the DSC
securities mature.
3. If you have less than $100,000 in Eligible Investments in your
account(s), any SCS securities with an embedded management
and administration fee that were in your account(s) prior to signing up
for this service will NOT be automatically switched to the chosen fee-
for-service series until such time as you qualify for Private Wealth
Series, unless you provide separate instructions to switch those series.
4. Once you qualify for Private Wealth Series, we will switch your
Matured Units and any remaining SCS Retail Series securities with an
embedded fee into the chosen fee-for-service series. This will include
any remaining series A, B, T5, T6, T8, SC, S5 or S8 securities that you
have in your account. If you meet the eligibility criteria for Private
Wealth Series through a purchase or switch transaction, the automatic
switch will take place the following business day. If you meet the
eligibility criteria through positive market movement, the automatic
switch will take place on the second Friday of the month.
5. If you transfer additional assets into your account(s) or make an
additional purchase into your account(s), those series will also be
included in this service.
6. If you already qualify for Private Wealth Series prior to signing up for this
service, please note that any Private Wealth Series in your account(s)
with an embedded management and administration fee will NOT be
automatically switched to the chosen fee-for-service series, unless you
provide separate instructions to switch those series.
7. In the event that you would like to make changes to the instructions
provided above, you must provide revised instructions prior to the
next switch date, which is the second Friday of the every month.
Eligible FROM Series and TO Series
From Series To Series
1 2 3
A
F (one low fee for both Retail and Private Wealth)
FB (Retail) / PWFB (Private Wealth)
PWX (Private Wealth only)
B
F
FB / PWFB
PWX
T5
F5
FB5 / PWFB5
PWX5
T6
F6
FB5 / PWFB5
PWX5
T8
F8
FB5 / PWFB8
PWX8
8. Instructions are effective on the date that Mackenzie receives the
completed forms (including any dealer agreement) in good order,
not the date that you sign them. Instructions may not be backdated.
9. Please note that fee-for-service series are only permitted if you are
enrolled in a dealer-sponsored fee-for-service or wrap program and
you are subject to an asset-based fee rather than commissions on
each transaction OR you negotiate an advisor service fee with your
dealer, which is specified within an agreement with us. All fee-for-
service series require your dealer to enter into an agreement with us
relating to the distribution of these securities.
10. Your Dealer will provide the Fund Facts document for the chosen Fee-
for-Service series for each Fund in your Account upon the signing of
this form. However, you will not receive the Fund Facts for subsequent
automatic switches that are made pursuant to this service.
11. You may request a copy of the Fund Facts at any time and
at no cost by calling 1-800-387-0614 or by email at
service@
mackenzieinvestments.com
. You can also view these documents
online at
http://www.mackenzieinvestments.com
or
http://www.sedar.com
12. You will not have the right to withdraw from an agreement of
purchase and sale in respect of a purchase of securities made as a
result of an automatic switch pursuant to this service. You do have
the right of action for damages or rescission in the event any fund
facts, or document incorporated by reference into a simplified
prospectus, for the relevant series contains a misrepresentation,
whether or not you request the fund facts.
13. You may include more than one account on this form if you would
like the same choices to apply to all accounts listed on this form.
If you would like different choices for separate accounts, please fill
out a separate form for each account.
Please return signed and completed Agreement by fax or mail to:
Mackenzie Investments
Operations Group
180 Queen Street West
Toronto, ON M5V 3K1
Fax: 416-922-5660 or toll free: 1-866-766-6623
281415 1/19
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Systematic DSC to Fee-for-Service Series Switching Client Authorization (Mackenzie Investments)

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Completed 21 June 2021

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