Scotia Investments Jamaica Limited Personal Client Application

Transcription

1 Scotia Investments Jamaica Limited Personal Client Application A. WHAT TYPE OF ACCOUNT DO YOU WANT? ACCOUNT NO: DATE: SINGLE OWNERSHIP TRADING ACCOUNT JOINT TRADING ACCOUNT (OWNED BY TWO OR MORE PERSONS) WITH RIGHT OF SURVIVORSHIP TRADING ACCOUNT(S) FOR A MINOR, WHERE AN ADULT GIVES US INSTRUCTIONS AND GUARANTEES THE ACCOUNT (PRIMARY APPLICANT) ON BEHALF OF AN ACCOUNT OWNED BY A MINOR (SECONDARY APPLICANT) TRADING ACCOUNT(S) FOR ANOTHER PERSON, WHERE A PERSON IS AUTHORIZED TO GIVE INSTRUCTIONS (SECONDARY APPLICANT) ON BEHALF OF A BENEFICIARY WHO OWNS THE ACCOUNT (PRIMARY APPLICANT) B. PRIMARY APPLICANT LAST NAME : FIRST NAME: l MIDDLE NAME: PERMANENT ADDRESS (Include postal code if applicable) YEARS AT ADDRESS PREVIOUS ADDRESS IF PERMANENT ADDRESS IS LESS THAN 2 YEARS MAILING ADDRESS IF DIFFERENT FROM PERMANENT ADDRESS (Include postal code if applicable) TELEPHONE NUMBER CELLULAR NUMBER ADDRESS DATE OF BIRTH OF BIRTH OF CITIZENSHIP RESIDENCE FOR TA PURPOSES : RESIDENT SINCE WHAT DATE TA PAYER ID PRIMARY ID TYPE No. (UNEPIRED) PRIMARY ID OF ISSUE PRIMARY ID EPIRY DATE SECONDARY ID TYPE No. SECONDARY ID OF ISSUE SECONDARY ID EPIRY DATE SELF EMPLOYED? Yes No NAME OF EMPLOYER NATURE OF BUSINESS CURRENT POSITION/OCCUPATION? EMPLOYERS ADDRESS YEARS EMPLOYED If less than 1 year provide details of previous employer Insider Information: Are you as an authorized person, or your spouse, a deemed insider of any public companies? No Yes If yes enter company name(s) here: Control Position: Are you as an authorized person, or your spouse, singularly or as part of a group in a control position of any public companies? No Yes - If yes enter company name(s) here: Are you as an authorized person, or your spouse, a Director, Employee, Partner or Officer of a Member of any stock exchange or of the stock exchange itself? No Yes If yes enter the company or exchange here: Will any other person guarantee the account? No Yes If yes please complete guarantor form. POLITICALLY EPOSED PERSONS: Are any of the account holders, signatories, or their immediate family members (parents, siblings, spouse, children, & or in-laws); a current or former senior official in the executive, legislative or administrative arms of government, or military or judiciary of your country of residence or a foreign government or a senior officer of a foreign Political Party, or a senior executive of an enterprise owned by your country of residence or a foreign government? No Yes, Please provide details: Reference Details (Where required by your Jurisdiction) References (required for all accounts opened in Jamaica) Referee 1: Letter Telephone In Person Name: Address: Telephone No: How Long Known: Occupation: Verification Comment : If applicable, forward reference letters/forms to RA Unit for verification. Referee 2: Letter Telephone In Person Name: Address: Telephone No: How Long Known: Occupation: Verification Comment : RA Unit Verified: : APRIL 18, 2011 Scotiabank DBG Investments Limited Scotiabank DBG Fund Managers Limited Page 1 of 8

2 C. PRIMARY APPLICANT S FINANCIAL INFORMATION. NAME OF PRIMARY BANK ACCOUNT: BRANCH TRANSIT LOCATION: ACCOUNT NUMBER: SCOTIABANK PERSONAL CUSTOMER No Yes, only 1 primary piece of ID is required, provide Scotiabank location: YOUR ANNUAL GROSS INCOME FROM ALL SOURCES Estimated Net Worth A. Net Liquid Assets (Cash and Securities less liabilities under 1 yr.) Source of account initial funding and amount? Source Amount B. Net Fixed Assets (Fixed Assets less liabilities due over 1 yr.) = Total Net Assets (A + B) Source of on-going funding and anticipated amount? Source Amount D. PRIMARY APPLICANT S INVESTMENT KNOWLEDGE Please indicate below the types of investments that you have had experience with. Money Market Instruments: T-Bills Repos Money Market Mutual Funds Please indicate your Cash Equity: Stocks Preferred Shares Warrants Exchange Traded Funds Equity Mutual Funds Please indicate your Equity Fixed Income: Bonds Term Deposits Balanced Funds Strip Bonds Bond Mutual Funds Other: Foreign Exchange F/ Private Placements Managed Accounts New Issues IPO Hedge Funds Margin Trading (please specify) Please indicate your Fixed Income Please indicate your other Derivatives: Commodities and Futures Options Managed Future Accounts Please indicate your overall Do you have an account at any other Brokerage firm? No Yes, Type of Account: Brokerage firm: E. JOINT APPLICANT / TRADING AUTHORITY LAST NAME : FIRST NAME: MIDDLE NAME: Please indicate your Derivative PERMANENT ADDRESS (Include postal code if applicable) YEARS AT ADDRESS PREVIOUS ADDRESS IF PERMANENT ADDRESS IS LESS THAN 2 YEARS MAILING ADDRESS IF DIFFERENT FROM PERMANENT ADDRESS (Include postal code if applicable) TELEPHONE NUMBER CELLULAR NUMBER ADDRESS DATE OF BIRTH OF BIRTH OF CITIZENSHIP RESIDENCE FOR TA PURPOSES : RESIDENT SINCE WHAT DATE TA PAYER ID PRIMARY ID TYPE No. (UNEPIRED) PRIMARY ID OF ISSUE PRIMARY ID EPIRY DATE SECONDARY ID TYPE No. SECONDARY ID OF ISSUE SECONDARY ID EPIRY DATE SELF EMPLOYED? Yes No NAME OF EMPLOYER NATURE OF BUSINESS CURRENT POSITION/OCCUPATION? EMPLOYERS ADDRESS YEARS EMPLOYED If less than 1 year provide details of previous employer APRIL 18, 2011 Scotia Investments Jamaica Limited Scotia Asset Management (Jamaica) Limited Page 2 of 8

3 Insider Information: Are you as an authorized person, or your spouse, a deemed insider of any public companies? No Yes If yes enter company name(s) here: Personal Client Application Control Position: Are you as an authorized person, or your spouse, singularly or as part of a group in a control position of any public companies? No Yes - If yes enter company name(s) here: Are you as an authorized person, or your spouse, a Director, Employee, Partner or Officer of a Member of any stock exchange or of the stock exchange itself? No Yes If yes enter the company or exchange here: Will any other person guarantee the account? No Yes If yes please complete guarantor form. POLITICALLY EPOSED PERSONS: Are any of the account holders, signatories, or their immediate family members (parents, siblings, spouse, children, & or in-laws); a current or former senior official in the executive, legislative or administrative arms of government, or military or judiciary of your country of residence or a foreign government or a senior officer of a foreign Political Party, or a senior executive of an enterprise owned by your country of residence or a foreign government? No Yes, Please provide details: Reference Details (Where required by your Jurisdiction) References (required for all accounts opened in Jamaica) Referee 1: Letter Telephone In Person Name: Address: Telephone No: How Long Known: Occupation: Verification Comment : If applicable, forward reference letters/forms to RA Unit for verification F. JOINT APPLICANT S FINANCIAL INFORMATION. Referee 2: Letter Telephone In Person Name: Address: Telephone No: How Long Known: Occupation: Verification Comment : RA Unit Verified: : NAME OF PRIMARY BANK ACCOUNT: BRANCH TRANSIT LOCATION: ACCOUNT NUMBER: SCOTIABANK PERSONAL CUSTOMER No Yes, only 1 primary piece of ID is required, provide Scotiabank location: YOUR ANNUAL GROSS INCOME FROM ALL SOURCES Estimated Net Worth A. Net Liquid Assets (Cash and Securities less liabilities under 1 yr.) Source of account initial funding and amount? Source Amount B. Net Fixed Assets (Fixed Assets less liabilities due over 1 yr.) = Total Net Assets (A + B) Source of on-going funding and anticipated amount? Source Amount G. JOINT APPLICANT S INVESTMENT KNOWLEDGE Please indicate below the types of investments you have had experience with. ONLY COMPLETE IF JOINT APPLICANT/TENANT CAN GIVE US INSTRUCTIONS Money Market Instruments: T-Bills Repos Money Market Mutual Funds Fixed Income: Bonds Term Deposits Balanced Funds Strip Bonds Bond Mutual Funds Other: Foreign Exchange F/ Private Placements Managed Accounts New Issues IPO Hedge Funds Margin Trading (please specify) Please indicate your Cash Please indicate your Fixed Income Please indicate your other Equity: Stocks Preferred Shares Warrants Exchange Traded Funds Equity Mutual Funds Derivatives: Commodities and Futures Options Managed Future Accounts Please indicate your overall Do you have an account at any other Brokerage firm? No Yes, Type of Account: Brokerage firm: Please indicate your Equity Please indicate your Derivative APRIL 18, 2011 Scotia Investments Jamaica Limited Scotia Asset Management (Jamaica) Limited Page 3 of 8

4 H. ADDITIONAL APPLICANT PERSONAL INFORMATION - PLEASE FILL OUT IF MORE THAN TWO OWNERS OF THE ACCOUNT(S) LAST NAME : FIRST NAME: MIDDLE NAME: PERMANENT ADDRESS (Include postal code if applicable) YEARS AT ADDRESS PREVIOUS ADDRESS IF PERMANENT ADDRESS IS LESS THAN 2 YEARS MAILING ADDRESS IF DIFFERENT FROM PERMANENT ADDRESS (Include postal code if applicable) TELEPHONE NUMBER CELLULAR NUMBER ADDRESS DATE OF BIRTH OF BIRTH OF CITIZENSHIP RESIDENCE FOR TA PURPOSES : RESIDENT SINCE WHAT DATE TA PAYER ID PRIMARY ID TYPE No. (UNEPIRED) PRIMARY ID OF ISSUE PRIMARY ID EPIRY DATE SECONDARY ID TYPE No. SECONDARY ID OF ISSUE SECONDARY ID EPIRY DATE SELF EMPLOYED? Yes No NAME OF EMPLOYER NATURE OF BUSINESS CURRENT POSITION/OCCUPATION? EMPLOYERS ADDRESS YEARS EMPLOYED If less than 1 year provide details of previous employer Insider Information: Are you as an authorized person, or your spouse, a deemed insider of any public companies? No Yes If yes enter company name(s) here: Control Position: Are you as an authorized person, or your spouse, singularly or as part of a group in a control position of any public companies? No Yes - If yes enter company name(s) here: Are you as an authorized person, or your spouse, a Director, Employee, Partner or Officer of a Member of any stock exchange or of the stock exchange itself? No Yes If yes enter the company or exchange here: Will any other person guarantee the account? No Yes If yes please complete guarantor form. POLITICALLY EPOSED PERSONS: Are any of the account holders, signatories, or their immediate family members (parents, siblings, spouse, children, & or in-laws); a current or former senior official in the executive, legislative or administrative arms of government, or military or judiciary of your country of residence or a foreign government or a senior officer of a foreign Political Party, or a senior executive of an enterprise owned by your country of residence or a foreign government? No Yes, Please provide details: Reference Details (Where required by your Jurisdiction) APRIL 18, 2011 Scotia Investments Jamaica Limited Scotia Asset Management (Jamaica) Limited Page 4 of 8

5 References (required for all accounts opened in Jamaica) Referee 1: Letter Telephone In Person Name: Address: Telephone No: How Long Known: Occupation: Verification Comment : If applicable, forward reference letters/forms to RA Unit for verification I. ADDITIONAL APPLICANT S FINANCIAL INFORMATION Referee 2: Letter Telephone In Person Name: Address: Telephone No: How Long Known: Occupation: Verification Comment : RA Unit Verified: : NAME OF PRIMARY BANK ACCOUNT: BRANCH TRANSIT LOCATION: ACCOUNT NUMBER: SCOTIABANK PERSONAL CUSTOMER No Yes, only 1 primary piece of ID is required, provide Scotiabank location: YOUR ANNUAL GROSS INCOME FROM ALL SOURCES Estimated Net Worth A. Net Liquid Assets (Cash and Securities less liabilities under 1 yr.) Source of account initial funding and amount? Source Amount B. Net Fixed Assets (Fixed Assets less liabilities due over 1 yr.) = Total Net Assets (A + B) Source of on-going funding and anticipated amount? Source Amount J. ADDITIONAL APPLICANT S INVESTMENT KNOWLEDGE Please indicate below the types of investments you have had experience with. ONLY COMPLETE IF ADDITIONAL APPLICANT/TENANT CAN GIVE US INSTRUCTIONS Money Market Instruments: T-Bills Repos Money Market Mutual Funds Please indicate your Cash Equity: Stocks Preferred Shares Warrants Exchange Traded Funds Equity Mutual Funds Please indicate your Equity Fixed Income: Bonds Term Deposits Balanced Funds Strip Bonds Bond Mutual Funds Other: Foreign Exchange F/ Private Placements Managed Accounts New Issues IPO Hedge Funds Margin Trading (please specify) Please indicate your Fixed Income Please indicate your other Derivatives: Commodities and Futures Options Managed Future Accounts Please indicate your overall Do you have an account at any other Brokerage firm? No Yes, Type of Account: Brokerage firm: K. THIRD PARTY DETERMINATION Will this account be used to conduct business on behalf of someone other than the named applicants? No Yes If yes, complete a third party determination form. Please indicate your Derivative L. YOUR INVESTMENT RISK TOLERANCE FOR THE ACCOUNT(S) YOU WISH TO OPEN WITH US In this section, we are asking to identify your willingness and ability to assume risk LOW MEDIUM You have a low tolerance for risk in your investments, and recognize that the returns on your investment will likely be lower than other strategies. You have a medium tolerance for risk in your investments and want your portfolio to have only moderate fluctuations in value over time. APRIL 18, 2011 Scotia Investments Jamaica Limited Scotia Asset Management (Jamaica) Limited Page 5 of 8

6 HIGH Personal Client Application You have a high tolerance for risk in your investments recognizing that there may be significant changes in the value of your portfolio or losses at any time. M. YOUR INVESTMENT OBJECTIVES, FINANCIAL GOALS AND TIME HORIZON WILL BE DOCUMENTED IN THE INVESTMENT SELECTOR PROFILE N. IF YOU ARE APPLYING FOR A MARGIN ACCOUNT. Please sign this section By signing here I/We confirm that: 1. I/We are applying for a Margin Account and have read, understood and agreed to the Margin Terms and conditions with the General Terms and Conditions applicable to all accounts 2. I/We are aware of the risk involved in trading on margin and are willing to take those risks. Primary Applicant/Tenant s Signature Joint Applicant/Tenant s Signature (if applicable) Additional Applicant/Tenant s Signature (if applicable) APRIL 18, 2011 Scotia Investments Jamaica Limited Scotia Asset Management (Jamaica) Limited Page 6 of 8

7 O. WHAT YOU AGREE TO WHEN YOU SIGN THIS APPLICATION We, our, us, Scotiabank, and the Bank mean, as applicable, The Bank of Nova Scotia and its branches operating outside of Canada, including but not limited to its branches and agencies in the United States, Antigua, Barbados, Dominica, the Dominican Republic, Grenada, Guyana, Haiti, Panama, St. Maarten, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines and the U.S. Virgin Islands, and its subsidiaries, The Bank of Nova Scotia Jamaica Limited, Scotia Investments Jamaica Limited, Scotia Asset Management (Jamaica) Limited, Scotiabank Anguilla Limited, Scotiabank (Bahamas) Limited, Scotiabank (Belize) Ltd., Scotiabank (British Virgin Islands) Limited, Scotiabank & Trust (Cayman) Ltd., Scotiabank de Costa Rica, S.A., Scotiabank El Salvador, S.A., Scotiabank de Puerto Rico, Scotiabank (Turks and Caicos) Ltd., Scotiabank Trinidad and Tobago Limited. Scotiabank Group means collectively, The Bank of Nova Scotia and all its subsidiaries and affiliates. You and Your, means the individual(s), that owns this Account, or any signatory on this Account(s) Application. Resolved that: 1. You agree that we may share your personal/business information within the Scotiabank Group as required, and you agree that we may transfer it to countries in the world where we do business. 2. The persons you list on the account application are the persons authorized and required, to give instructions, verifications and approvals on your behalf from time to time. 3. You may exercise every power to borrow money and to secure repayment thereof which is conferred upon you by your governing legislation. The persons whom you verify are the persons authorized to borrow money from us on your credit from time to time in the amounts and on the terms that those persons determine, and to grant security to us over any of your property from time to time. 4. All instructions, applications, agreements and documents which you sign, make, draw, accept, endorse or complete and which are signed by the persons you have authorized from time to time are valid and are binding on you. 5. This resolution remains in effect until you cancel it by written notice to the Bank that you deal with and we have acknowledged receiving the notice. 6. You hereby authorize us to obtain independent verification of any information provided in respect of this application. NOTE: Despite signing this Personal Client Application and acknowledging that you have received one of the below Financial Services Agreements, the account(s)/services(s) requested are still subject to approval by the Bank prior to opening. By signing below, you and your signing authorities certify to the Bank: You request the services listed and confirm that the information recorded on this Application is true and complete. This includes your representations on the Investment Selector Profile, which you have also acknowledged as being accurate, and which forms part of this Personal Client Application. Your investment advisor does not have a direct or indirect ownership in this account. Unless otherwise advised, securities purchased in the account are not insured by a government deposit insurer, are not guaranteed by the Scotiabank Group and may fluctuate in Value. The person you list on the account will have full power to bind you in all respects including the power to borrow money and grant security. You acknowledge receipt and agreement of an investment recommendation based on your financial goals and time horizon for the account. You also acknowledge receipt of and agree to be bound by the terms and conditions in the: Scotia Investments Jamaica Limited General Terms & Condition Agreement (Initials) Scotia Private Client Group Financial Services Agreement (Initials) Unless otherwise indicated by you, the account will be opened as non-discretionary, i.e. you have to confirm all trades / transactions before execution. 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 you use borrowed money to purchase securities, your 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 purchased securities decline. Primary Applicant/Tenant s Signature Joint Applicant/Tenant s Signature (if applicable Additional Applicant/Tenant s Signature (if applicable) APRIL 18, 2011 Scotia Investments Jamaica Limited Scotia Asset Management (Jamaica) Limited Page 7 of 8

8 P. COMMENTS SECTION WILL BE COMPLETED BY YOUR ADVISOR Initial Deposit Amount: Or Transfer in Value: Have you met the client face to face? No Yes How long have you known the client? Referral by: SPCG Scotiabank Existing Client Personal Contact Other: Other comments: Identity verification required for each person with authority on the account. Original identity documents must be verified and a photocopy made of the passport, other government issued ID and physical address verification (utility bill). Confirm obtained Yes No Advisor Signature: Advisor Name: : Approver Signature: Approver Name: : APRIL 18, 2011 Scotia Investments Jamaica Limited Scotia Asset Management (Jamaica) Limited Page 8 of 8