Fillable Transfer Authorization - Registered Accounts (RBC Direct Investing)

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Transfer Authorization - Registered Accounts (RBC Direct Investing)

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Transfer Authorization - Registered Accounts
Account Holder Information
*Name * First Name
* Last Name
Middle Initial
*SIN Information * SIN #
Page 1 of 5
*Address
P.O. Boxes, General Delivery or c/o addresses are not
accepted
(A1A 1A1)
* No. and Street
Apt./Ste. * City
* Postal Code* Province
*Phone Number
(
(416)
)
(555)
-
(5555)
(
(416)
)/
(555)
-
(5555)
Residential/Cell Business/Day
*Title
Mr. Mrs. Miss Ms. Dr.
* Required Information
RBC Direct Investing Receiving Account Information
Page 2 of 5
*Delivering Institution Account
Type
* Account Type
*Account Info * Account/Policy Number
* In Name Of
*Address
(A1A 1A1)
* Address Line 1
Suite# * City
* Postal Code* Province
Address Line 2
Receiving Institution Account TypeTransfer to Account #
*Transfer Details
Delivering Institution Information
*Delivering Institution Name
* Name
Please select your transfer instructions (select one option only)
Transfer all of my assets as they are ("as is") including any existing cash balances to RBC Direct
Investing
®
(All in Kind)
Sell all of my assets and transfer the cash proceeds to RBC Direct Investing (All in Cash)
Transfer all of my assets. However, sell a portion of them and have the cash proceeds along with
the remainder of the account transferred "as is" to RBC Direct Investing (Please provide details in
Section (b) below)
Partial Transfer - Transfer only a portion of my assets/cash to RBC Direct Investing (Please
provide details in Sections (a) (b) and/or (c) below.)
(Note: Mutual Fund Transfers - If 'All' not selected, indicate decimal before fractional shares)
*(a) Cash Balance Details Transfer existing cash balance to my RBC Direct
Investing account
* Amount Currency Type
All or CDN
All or USD
*(b) Assets to be Sold Sell the following assets and transfer the cash
proceeds to my RBC Direct Investing account
* No. of Units/Shares * Security Description/Symbol
All or
All or
All or
All or
All or
All or
*(c) Assets to be
Transferred in Kind
(as is)
Transfer these assets "in kind" (as is) to my RBC
Direct Investing account
* No. of Units/Shares * Security Description/Symbol
All or
All or
All or
All or
All or
All or
If there is insufficient space to list all securities, please attach additional details.
Additional details attached
Page 3 of 5
Page 4 of 5
Date
X
Client Signature
Client Authorization
I hereby request the transfer of my account and its assets as described above. Where I have
requested a transfer in cash, I authorize the liquidation of all or part of my investments and agree
to pay applicable fees, charges or adjustments. Please cancel all open orders (G.T.C./SWF/PAC/,
etc.) for my account on your books.
RBC Direct Investing Settlement Information
RBC Direct Investing Dealer Information:
(For use by Delivering Institution only)
CUID: DOMA
Dealer Rep Code: 9190
DTC #: 5002
Euroclear: 90065
RBC Direct Investing Inc.
Account Transfers
Royal Bank Plaza
200 Bay Street, North Tower
P.O. Box 75
Toronto, Ontario M5J 2Z5
Customer Service: 1-800-769-2560, Option 4
To ensure your transfer is a smooth one:
1) If possible, attach a copy of your most recent statement. This will speed up the transfer process
by allowing us to verify if the transfer is complete.
2) Please note the financial institution you are transferring from may levy a "transfer fee" on your
account. Prompt settlement of this fee will help ensure that there are no delays in the transfer.
3) Some Guaranteed Investment Certificates are not transferable until maturity. Please check with
the purchasing institution for eligibility.
Page 5 of 5
For use by Delivering Institution only
Account Type:
RIF Spousal RIF
Non-QualifiedQualified
RSP LIRA Spousal RSP LRIF LIF PRIF RLIF RLSP
TFSA
Group RSP Group Spousal RSP
Spousal Plan (Complete if "Yes")
Spouse's Last Name
Spouse's Given Name Spouse's SIN #
Yes
No
Locked-in Funds
No
Yes
$
Applicable Pension Legislation:
If Provincial, specify legislation under which the pension
money/fund is governed(example: Alberta, B.C., etc.)
Federal
Provincial
Status of Plan Holder:
Member Spouse of Member
Former Spouse of Member
RBC Direct Investing Inc. and Royal Bank of Canada are separate corporate entities which are affiliated. RBC Direct Investing Inc. is a wholly owned subsidiary of
Royal Bank of Canada and is a Member of the Investment Industry Regulatory Organization of Canada and the Canadian Investor Protection Fund. Royal Bank of
Canada and certain of its issuers are related to RBC Direct Investing Inc. RBC Direct Investing Inc. does not provide investment advice or recommendations
regarding the purchase or sale of any securities. Investors are responsible for their own investment decisions. RBC Direct Investing is a business name used by
RBC Direct Investing Inc. ® / ™ Trademark(s) of Royal Bank of Canada. RBC and Royal Bank are registered trademarks of Royal Bank of Canada. Used under
licence. © Royal Bank of Canada 2018. All rights reserved.
Are All Funds to be Applied on a Unisex Basis?
YYYYDD MM
Authorized Signature
I certify that the information given in this section is true and complete in every aspect.
Contact Name
Percent %
or $
Dollar Amount
If no, what percentage/amount should be applied on a sex distinct basis?
Yes No
(
(416)
)
(555)
-
(5555)
(
(416)
)/
(555)
-
(5555)
Telephone Number Fax Number
Total Amount Transfered
E-FORM 3514M (01/2018)
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Transfer Authorization - Registered Accounts (RBC Direct Investing)

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Completed 27 August 2020

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