Account Opening Checklist

Transcription

1 Application Guide Non-registered (Investment) account Discount Brokerage Use this account opening guide to assist you in applying for an individually owned Discount Brokerage 1 Non-registered (Investment) Account with B2B Bank Discount Brokerage (B2BBDB). Please ensure the following steps are completed in order to avoid delays in processing your account application: 1. Fill out the B2BBDB Non-registered (Investment) Account Application fully and accurately, including all client identification information. 2. Submit all relevant supplementary documentation (see checklist below). 3. Attach a void cheque. 4. Attach a photocopy (front and back) of client photo identification (i.e. current Canadian issued passport, driver s license, citizenship card, or armed forces card). If the client does not have valid photo identification please contact the Trading Desk at Submit ALL pages of the completed, signed, and dated application along with the relevant supplementary documents (both mandatory and optional) to: Fax Attention: B2BBDB Trading Desk at Mail or courier B2B Bank Discount Brokerage, Attention: Trading Desk, 199 Bay Street, Suite 610, PO Box 35 STN Commerce Court, Toronto ON M5L 0A3. Account Opening Checklist Mandatory documents 2 : (check all applicable and submit) B2BBDB Non-registered (Investment) Account Application (ALL pages, completed, signed, and dated) Void cheque Client Banking Confirmation Form Politically Exposed Foreign Person (PEFP) Statement (if applicable see definition of PEFP on page 7 of the application) Photocopy of client photo identification Third Party Determination Statement (if applicable). Optional documents: (check only those applicable and submit) Consent to Sharing of Information form (for clients with a Mutual Fund licensed advisor only) Trading Authorization documentation Power of Attorney documentation To learn more about our B2B Bank Discount Brokerage platform or to download the applicable forms please visit b2bbank.com/dealerservices. To open a Joint, Joint Tenants in Common, Informal Trust (ITF), Formal Trust, Estate, Corporate, or Unincorporated Organization account, and to obtain more information, please call the Trading Desk at for assistance.

2 B2BBDB Non-registered (Investment) Account Application Discount Brokerage Please review the following guidelines to assist with completing the application fully and accurately. Applications missing the required information may result in processing delays. Section Required Fields Tips 1. Account Type and Intended Use Select (A) for an Individual Account Intended Use of Account must be specified. Intended Use of account specify what the account is used for (i.e. Retirement Savings, Children s Education, etc.) 2. Applicant Information All **IMPORTANT** Questions pertaining to a Politically Exposed Foreign Person ( PEFP ) or a Prescribed Family Member of a PEFP must be completed. The definitions of these terms are included on page 7 of the B2BBDB Non-registered account application. If you answered Yes to either question you must complete and attach the supplemental form Politically Exposed Foreign Person Statement 3. Co-Applicant Information Not applicable (leave blank). 1. Business/Trust/Other Entity Number leave blank. 2. Residential address a P.O. Box will not be accepted unless a street address is included 3. Do not forget to include the number of dependents. 4. If you do not have an address please indicate n/a. 5. Employer information if you are not currently working, indicate either Retired or Not Working ; if you are self-employed, you must indicate the type of business. 6. Nature of Principal Business or Occupation must be completed. 4. In Trust For Information Not applicable (leave blank). 5. Spousal Information If you have a spouse, check Yes and provide their details in the Applicant s Information column. If you do not have a spouse, check No. Do not complete the Co-Applicant s Information column leave blank. Applicant s Information 1. If you have a spouse, B2BBDB is required to obtain information regarding his/her employer (despite the account being individually owned). 2. If your spouse is currently not working indicate either: Retired or Not working, and proceed to provide answers to the remaining questions. 3. Self-Employed: If you indicated Selfemployed, you must indicate the Type of Business. 6. Shareholder Communication Information Parts 1 and 2 read the terms and check off the applicable boxes. 1. Part 1 I WANT to receive ALL security holder materials sent to the beneficial owners of securities will be the default if no option is chosen. 2. Part 2 I OBJECT will be the default if no option is chosen. 7. Annual Account Fees Select (A) (recommended), (B) or (C) 1. Option (C) will be the default if no option is chosen. 2. Option (D) is unavailable for this account type. 3. For more information on applicable account fees, refer to our Discount Brokerage Fee Schedules. Page 2 of 5

3 Section Required Fields Tips 8. Account Information All 1. If you answered Yes to section (A), complete and attach the supplemental form Third Party Determination Statement 2. If you answered, Yes to (B) or (C), then the answer to (A) must be Yes as well. Please see the additional documentation requirements that can be found under Assign Trading Authorization or Assigning a Power of Attorney at: b2bbank.com/dealerservices Discount Brokerage 9. Banking Information And Identity Verification All Banking Information Complete and attach the supplemental Client Banking Confirmation Form. Identity Verification 1. See Section 9 of the application for types of acceptable ID and purpose. 2. Remember to attach a clear photocopy (front and back) of the respective I.D. 3. Complete the Place of Issue and Expiry Date fields. 10. Dealer and Financial Advisor Name Not applicable (leave blank). 11. Order execution only acknowledgement Please sign and date the acknowledgement. 12. Account Agreement Sign and date the application. Page 3 of 5

4 Client Banking Confirmation Form Purpose of the form: Authorizes B2BBDB to confirm with the banking institution named on your application that the applicant/annuitant name provided to B2BBDB corresponds with their banking records. This information is required in order to comply with Federal legislation Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA). You may also use this form to change or correct existing banking information affiliated with your B2BBDB account. How to complete the form: Section Required fields Tips 1. Client Information All For new accounts, indicate New followed by the account type (e.g. New Non-registered/Investment Account) in the subject line. For existing accounts, indicate your B2BBDB account number(s). 2. Banking Information All Void cheque is mandatory For accounts with more than one applicant if the banking information is different for each applicant: 1. Each applicant must fill out his or her own Client Banking Confirmation Form. 2. Each applicant must provide a void cheque. 3. Client Banking Authorization All If the bank account information provided in section 2 is in joint names, all owners of the account must sign under client signature. 4. Bank Branch Confirmation Not applicable (leave blank) Page 4 of 5

5 Consent to Sharing of Information Purpose of the form: Authorizes B2BBDB to disclose personal account information periodically and upon request to the dealer and financial advisor indicated on the form. This document outlines the conditions and type of information that may be disclosed. How to complete the form: Section Required fields Tips RE: Consent to disclosure of Information regarding B2BBDB account numbers Write down the B2BBDB Account number(s) that you consent to sharing information on. For new accounts, indicate New followed by the account type. (e.g. New Non-registered/ Investment Account) in the subject line. For existing accounts, indicate your B2BBDB account number(s). (A) Print the name of the representative followed by his or her representative number. Contact your financial advisor if you do not know their representative number. (B) Print the name of the dealer with whom your financial advisor is licensed. Contact your financial advisor if you do not know their dealer s name. Bottom portion: date, name(s) and signature(s) All For more information, please call the Trading Desk at or visit b2bbank.com/dealerservices. 1 Discount Brokerage accounts are administered by the B2B Bank Discount Brokerage Trading Desk and are solely for the use of clients/investors without an IIROC licensed financial advisor. 2 Additional information may be required upon review of your application. B2B Bank Discount Brokerage is a division of B2B Bank Securities Services Inc. B2B Bank Securities Services Inc. is a Member of the Canadian Investor Protection Fund. B2B Bank Securities Services Inc. is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and does not endorse nor promote any investment products, programs or strategies. B2B Bank is a trademark used under license E (08/01/2014) Page 5 of 5