Individual Account Joint Account Custodian Account Trust Account If you would like to open an Individual Account, Joint Account, Custodial Account (for minors), or Trust Account, the following forms must be completed. Please print out and carefully read the enclosed documents. Fill them out completely, sign, date and send back to Canaccord Genuity Inc. either by fax at (617) 371-3796 or by mail to the following address: Canaccord Genuity Inc. 99 High Street 12 th Floor Attn: Corporate Services Boston, MA 02110 It is important that all documents be signed and dated by the appropriate persons. All information must be completed in order for your account to be processed. In addition all Non U.S. citizens must also print out, complete and send the W-8BEN Form to Canaccord Genuity Inc. with the other documents. As required under the USA Patriot Act, include your passport number, government tax identification number, or Alien Identification number (include country of issuance). Finally, please review the attached Privacy Notice, Service Fee Schedule, Customer Identification Notice, Business Continuity Plan Notice and Standard Wire Instructions. Canaccord Genuity Inc. maintains a Business Continuity Plan to address the impact of potential significant business disruptions. You may obtain a copy by contacting bcp@canaccordgenuity.com, or writing to the above address.
BROKERAGE ACCOUNT APPLICATION Account Type: [ ] CASH [ ] MARGIN R.R. # (For Internal Use) ACCOUNT NUMBER (For Internal Use) Ownership of Account: [ ] INDIVIDUAL (in your name only) [ ] JOINT TENANTS WITH RIGHTS OF SURVIVORSHIP [ ] JOINT TENANTS IN COMMON [ ] CUSTODIAN (please provide social security number and date of birth of minor) [ ] TRUST (please furnish copy of Trust Agreement) PLEASE PRINT. ALL INFORMATION MUST BE COMPLETED IN ORDER FOR YOUR ACCOUNT TO BE PROCESSED Account Name Social Security or Tax I.D. No. Date of Birth (mm/dd/yyyy) Co-Applicant Social Security or Tax I.D. No. Date of Birth (mm/dd/yyyy) Mailing Address (P.O. Box acceptable if legal address provided) [ ]U.S. Citizen [ ] Resident Alien [ ] Non-U.S. Resident Alien (Originally signed W-8 required) City State ZIP Home Phone ( ) Legal Address (if different) Business Phone ( ) City State ZIP Email Address Marital Status Maiden Name/Name Change # of Dependents Mailing Address of Co-Applicant (if different) Home Phone of Co-Applicant (if different) ( ) City State ZIP Email Address EMPLOYMENT INFORMATION Employed by (firm name): Occupation Joint Tenant Employed by (firm name): Occupation Business Mailing Address Business Mailing Address City State ZIP City State ZIP Occupation/Position Occupation/Position Type of Business Type of Business
Years of Employment Years of Employment REGULATORY INFORMATION - REQUIRED Are you related to a member of this firm or affiliated with or employed by a member firm or a stock exchange or the NASDAQ? [ ] YES [ ] NO If YES, state the nature of the affiliation and position held. Are you a director, a person collectively owning 10% or more, or a policy making executive officer of a publicly traded company? [ ] YES [ ] NO If YES, state the company and position held. CIRCLE APPROPRIATE CHOICES Investment Objectives Annual Income Source of Funds Liquid Net Worth 1. Safety of Principal 2. Income 3. Growth & Income 4. Growth 5. Aggressive Growth a. Under $25,000 b. $25,001 - $49,999 c. $50,000 - $99,999 d. $100,000 - $249,999 e. $250,000 or more f. Declined 1. Job 2. Savings 3. Spouse/Parent 4. Social Security 5. Pension 6. Inheritance 7. Investments 8. Other 1. Under $25,000 2. $25,001 - $49,999 3. $50,000 - $99,999 4. $100,000 - $249,999 5. $250,000 or more 6. Declined Market Knowledge Investment Experience Tax Bracket Instructions * 1. None 2. Limited 3. Good 4. Extensive 1. None 2. Limited 1 to 3 years 3. Good 3-5 years 4. Extensive - > 5 years 1. 10% 2. 27% 3. 30% 4. 35% 5. Other BUYS 1. Transfer & Ship 2. Hold Securities SELLS 3. Remit Proceeds 4. Hold Proceeds 5. Pay Dividends Monthly Are you or an immediate family member, or close associate, a senior foreign official? [ ]YES [ ] NO Please identify NON-U.S. CITIZENS ONLY: Please provide one (1) of the following and the Country of Issuance: [ ] Passport # [ ] Gov t Tax ID [ ]Alien Identification #: Country of Issuance *Instructions will default to Hold Securities & Remit Proceeds if left blank. Please read the following and sign: I (we) would like to establish a brokerage account with Canaccord Genuity Inc. I (we) acknowledge by signing this agreement that I (we) have received, read and understand the terms and conditions described in The Canaccord Genuity Inc. Account Agreement, as well as the Privacy Notice, Fee Schedule, Customer Identification Program Notice, and Business Continuity Plan Notice and agree to abide by these terms and conditions as they apply to my (our) account. I (we) further acknowledge that these terms and conditions may be amended from time to time, and agree to abide by these changes. I agree that Canaccord Genuity Inc. has no obligation to advise me (us) on the suitability of any security, transaction or investment strategy that is not recommended by Canaccord Genuity Inc., and I (we) acknowledge that I (we) are responsible for monitoring profits and losses in my (our) account. I (we) agree that Canaccord Genuity Inc. does not provide legal or tax advice, or advice regarding specific equities or listed options, including suitability and investment strategies. I (we) agree that I (we) am (are) fully responsible for evaluating my (our) personal financial circumstances and for determining my (our) suitability for any particular security, transaction or investment strategy recommended by Canaccord Genuity Inc. I (we) authorize Canaccord Genuity Inc. to make inquiries for the purpose of verifying my (our) credit worthiness and, if I am married and live in a community property state, the creditworthiness of my spouse. Such inquiries may include verifying information I (we) have provided in my (our) new account application, contacting my (our) employer, obtaining credit reports and making other inquiries. Upon my (our) written request, you will inform me (us) if you have obtained credit reports, and if so, you will provide me (us) with the name and address of the credit reporting agency. CUSTOMER AGREEMENT In consideration for Canaccord Genuity Inc. opening or maintaining one or more accounts (the Account ) for myself (us), I (we) agree to the terms and conditions contained in this Agreement. (The heading of each provision of this Agreement is for descriptive purposes only and shall not be deemed to modify or qualify any of the rights or obligations set forth in each such provision. For purposes of this Agreement, securities and other property means, but is not limited to, money, securities, financial instruments and commodities of every kind and nature and related contracts and options, except that the provisions of paragraph 16 herein (the arbitration clause) shall not apply to commodities accounts. This definition includes securities or other property currently or hereafter held, carried or maintained by Canaccord Genuity Inc. or by any of its affiliates, in its possession or control, or in the possession or control of any such affiliate, for any purpose, in and for any of my (our) accounts now or hereafter opened, including any account in which I (we) may have an interest.) 1. Applicable Rules and Regulations: All transactions in my (our) account shall be subject to the constitution, rules, regulations, customs and usages of the exchange or market, and its clearing house, if any, where the transactions are executed by the Broker or its agents, including its subsidiaries and affiliates. Also, where applicable, the transactions shall be subject (a) to the provisions of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Securities Exchange Commission, and the Board of Governors of the Federal Reserve System. 2. Agreement Contains Entire Understanding/Assignment: This agreement contains the entire understanding between myself (us), and Canaccord Genuity Inc. concerning the subject matter of this Agreement. I (we) may not assign the rights and obligations here under without first obtaining the prior written consent from Canaccord Genuity Inc. 3. Severability: If any provision of this Agreement is held to be invalid, void or unenforceable by reason of any law, rule, administrative order or judicial decision, that determination shall not affect the validity of the remaining provisions of this Agreement.
4. Waiver: Except as specifically permitted in this Agreement, no provision of this Agreement can be, nor be deemed to be, waived, altered, modified or amended unless such is agreed to in a writing signed by the Canaccord Genuity Inc.. 5. Delivery of Securities: Without abrogating any of Canaccord Genuity Inc. s rights under any other portion of this Agreement and subject to any indebtedness by me (us) to the Broker, I (we) am entitled, upon appropriate demand, to receive physical delivery of fully paid securities in the my (our) account. 6. Liens: All securities and other property of mine (ours) in any account in which I (we) have an interest shall be subject to a perfected first lien and security interest for the discharge of any and all indebtedness or any other obligation of me (us) to Canaccord Genuity Inc.. All securities and other property of mine (ours) shall be held by Canaccord Genuity Inc. as security for the payment of any such obligations or indebtedness to Canaccord Genuity Inc. in any account that I (we) may have an interest, and Canaccord Genuity Inc., subject to applicable law may, at any time and without prior notice to me (us), use and/or transfer any or all securities and other property interchangeably in any account(s) in which I (we) has an interest. 7. Satisfaction of Indebtedness: I (we) agree to satisfy, upon demand, any indebtedness, and to pay any debit balance remaining when my (our) Account is closed, either partially or totally. My (Our) Account(s) may not be closed without Canaccord Genuity Inc. first receiving all securities and other property for which the Account is short and all funds to pay in full for all securities and other property in which the Account(s) are long. 8. Transactions and Settlements: All orders for the purchase or sale of securities and other property will be authorized by me (us) and executed with the understanding that an actual purchase or sale is intended and that it is my (our) intention and obligation in every case to deliver securities to cover any and all sales or to receive and pay for securities upon Canaccord Genuity Inc. s demand. If Canaccord Genuity Inc. makes a short sale of any securities and other property at my (our) direction or if I (we) fail to deliver to Canaccord Genuity Inc. any securities and other property that Canaccord Genuity Inc. has sold at my (our) direction, Canaccord Genuity Inc. is authorized to borrow the securities and other property necessary to enable Canaccord Genuity Inc. to make delivery and I (we) agree to be responsible for any cost or loss Canaccord Genuity Inc. may incur, or the cost of obtaining the securities and other property if Canaccord Genuity Inc. is unable to borrow it. Canaccord Genuity Inc. is my (our) agent to complete all such transactions and is authorized to make advances and expend monies as are required. 9. Sales by Customer: I (we) understand and agree any order to sell short will be designated as such by me (us), and that Canaccord Genuity Inc. will mark the order as short. All other sell orders will be for securities owned ( long ) at that time; by me (us) by placing the order I (we) affirm that I (we) will deliver the securities on or before the settlement date. 10. Broker as Agent: I (We) understand that Canaccord Genuity Inc. is acting as my (our) agent, unless Canaccord Genuity Inc. notifies me (us), in writing before the settlement date for the transaction, that Canaccord Genuity Inc. is acting as a dealer for its own account or as agent for some other person. 11. Confirmations and Statements: Confirmations of transactions and statements for my (our) Account(s) shall be binding upon me (us) if I (we) do not object in writing, within ten days after receipt. Notice or other communications will be mailed to the address on the New Account Form, until Canaccord Genuity Inc. has received notice in writing of a different address, be deemed to have been personally delivered to me (us) whether actually received or not. 12. Securities Investor Protection Corporation (SIPC): Information about SIPC, including the SIPC brochure, may be obtained by contacting SIPC at www.sipc.com or 202-371-8300. 13. Successors: I (We) hereby agree that this Agreement and all the terms thereof shall be binding upon my (our) heirs, executors administrators, personal representatives and assigns. This agreement shall inure to the benefit of Canaccord Genuity Inc. s present organization, and any successor organization, irrespective of any change or changes at any time in the personnel thereof, for any cause whatsoever. 14. Choice of Laws: THIS AGREEMENT SHALL BE DEEMED TO HAVE BEEN MADE IN THE STATE OF MASSACHUSETTS AND SHALL BE CONSTRUED, AND THE RIGHTS AND LIABILITIES OF THE PARTIES DETERMINED, IN ACCORDANCE WITH THE LAWS OF THE STATE OF MASSACHUSETTS. 15. Capacity to Contract, Customer Affiliation: By signing below, I (we) represent that I (we) am of legal age, and that I (we) am not an employee of any exchange, or of any corporation of which any exchange owns a majority of the capital stock, or of a member of any exchange, or of a member firm or member corporation registered on any exchange, or of a bank, trust company, insurance company or of any corporation, firm or individual engaged in the business of dealing, either as broker or as principal, in securities, bills of exchange, acceptances or other forms of commercial paper, and that I (we) will promptly notify Canaccord Genuity Inc. in writing if I (we) am now or become so employed. I (We) also represent that no one except myself (ourselves) has an interest in my (our) account or accounts with Canaccord Genuity Inc. 16. THIS AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE. BY SIGNING AN ARBITRATION AGREEMENT THE PARTIES AGREE AS FOLLOWS: ALL PARTIES ARE GIVING UP THE RIGHT TO SUE EACH OTHER IN COURT, INCLUDING THE RIGHT TO A TRIAL BY JURY, EXCEPT AS PROVIDED BY THE RULES OF THE ARBITRATION FORUM IN WHICH A CLAIM IS FILED. ARBITRATION AWARDS ARE GENERALLY FINAL AND BINDING; A PARTY S ABILITY TO HAVE A COURT REVERSE OR MODIFY AN ARBITRATION AWARD IS VERY LIMITED. THE ABILITY OF PARTIES TO OBTAIN DOCUMENTS, WITNESS STATEMENTS AND OTHER DISCOVERY IS GENERALLY MORE LIMITED IN ARBITRATION THAN IN COURT PROCEEDINGS. THE ARBITRATORS DO NOT HAVE TO EXPLAIN THE REASON(S) FOR THEIR AWARD, UNLESS, IN AN ELIGIBLE CASE, A JOINT REQUEST FOR AN EXPLAINED DECISION HAS BEEN SUBMITTED BY ALL PARTIES TO THE PANEL AT LEAST 20 DAYS PRIOR TO THE FIRST SCHEDULED HEARING DATE. THE PANEL OF ARBITRATORS WILL TYPICALLY INCLUDE A MINORITY OF ARBITRATORS WHO WERE OR ARE AFFILIATED WITH THE SECURITIES INDUSTRY. THE RULES OF SOME ARBITRATION FORUMS MAY IMPOSE TIME LIMITS FOR BRINGING A CLAIM IN ARBITRATION. IN SOME CASES, A CLAIM THAT IS INELIGIBLE FOR ARBITRATION MAY BE BROUGHT IN COURT. THE RULES OF THE ARBITRATION FORUM IN WHICH THE CLAIM IS FILED, AND ANY AMENDMENTS THERETO, SHALL BE INCORPORATED INTO THIS AGREEMENT. 17. ARBITRATION: I (WE) AGREE, AND BY CARRYING AN ACCOUNT FOR ME (US) CANACCORD GENUITY INC. AGREES THAT ALL CONTROVERSIES WHICH MAY ARISE BETWEEN US CONCERNING ANY TRANSACTION OR THE CONSTRUCTION, PERFORMANCE, OR BREACH OF THIS OR ANY OTHER AGREEMENT BETWEEN US PERTAINING TO SECURITIES AND OTHER PROPERTY, WHETHER ENTERED INTO PRIOR, ON OR SUBSEQUENT TO THE DATE HEREOF, SHALL BE DETERMINED BY ARBITRATION. ANY ARBITRATION UNDER THIS AGREEMENT SHALL BE CONDUCTED PURSUANT TO THE FEDERAL ARBITRATION ACT AND THE LAWS OF THE STATE DESIGNATED IN THE SECTION ABOVE ENTITLED CHOICE OF LAWS, BEFORE THE AMERICAN ARBITRATION ASSOCIATION, OR BEFORE THE NEW YORK STOCK EXCHANGE, INC. OR ANY ARBITRATION FACILITY PROVIDED BY ANY OTHER EXCHANGE OF WHICH CANACCORD GENUITY INC. IS A MEMBER, OR THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. OR THE MUNICIPAL SECURITIES RULEMAKING BOARD AND IN ACCORDANCE WITH THE RULES THEN IN EFFECT OF THE SELECTED ORGANIZATION. I (WE) MAY ELECT IN THE FIRST INSTANCE WHETHER ARBITRATION SHALL BE BY THE AMERICAN ARBITRATION ASSOCIATION, OR BY AN EXCHANGE OR SELF-REGULATORY ORGANIZATION OF WHICH CANACCORD GENUITY INC. IS A MEMBER, BUT IF I (WE) FAIL TO MAKE
SUCH ELECTION, BY REGISTERED LETTER OR TELEGRAM ADDRESSED TO CANACCORD GENUITY INC. AT ITS MAIN OFFICE, BEFORE THE EXPIRATION OF TEN DAYS AFTER RECEIPT OF A WRITTEN REQUEST FROM CANACCORD GENUITY INC. TO MAKE SUCH ELECTION, THEN CANACCORD GENUITY INC. MAY MAKE SUCH ELECTION. THE AWARD OF THE ARBITRATORS, OR OF THE MAJORITY OF THEM, SHALL BE FINAL, AND JUDGEMENT UPON THE AWARD RENDERED MAY BE ENTERED IN ANY COURT, STATE OR FEDERAL, HAVING JURISDICTION. NO PERSON SHALL BRING A PUTATIVE OR CERTIFIED CLASS ACTION TO ARBITRATION, NOR SEEK TO ENFORCE ANY PRE-DISPUTE ARBITRATION AGREEMENT AGAINST ANY PERSON WHO HAS INITIATED IN COURT A PUTATIVE CLASS ACTION; OR WHO IS A MEMBER OF A PUTATIVE CLASS WHO HAS NOT OPTED OUT OF THE CLASS WITH RESPECT TO ANY CLAIMS ENCOMPASSED BY THE PUTATIVE CLASS ACTION UNTIL: (i) THE CLASS CERTIFICATION IS DENIED: OR (ii) THE CLASS IS DECERTIFIED; OR (iii) I (WE) AM EXCLUDED FROM THE CLASS BY THE COURT, SUCH FORBEARANCE TO ENFORCE AN AGREEMENT TO ARBITRATE SHALL NOT CONSTITUTE A WAIVER OF ANY RIGHTS UNDER THIS AGREEMENT EXCEPT TO THE EXTENT STATED HEREIN. 18. Disclosures to Issuers Under rule 14b-1(c) of the Securities Exchange Act of 1934: We are required to disclose to an issuer the name, address, and securities position of our customers who are beneficial owners of that issuer s securities unless the customer objects. [ ] YES, I DO OBJECT TO THE DISCLOSURE OF SUCH INFORMATION. Joint Accounts Unless otherwise noted, any Account established pursuant to this agreement shall be a joint account with the following designation of tenancy. (Except where prohibited by applicable law, if no box is checked, the tenancy will be deemed to be Joint Tenants with Rights of Survivorship with equal ownership for each tenant) [ ] Joint Tenants With Rights Of Survivorship: In the event of the death of either or any of the undersigned, the entire interest in the joint account shall be vested to the survivor(s) on the same terms and conditions as herefore held, without in any manner releasing the descendant s estate from liability as provided below. [ ] Joint Tenants In Common: In the event of the death of either or any of the undersigned, the entire interest in the Account as of the close of business on the date of death of the decedent (or on the next following business day if the date of death is not a business day) shall be specified below. Name of Tenant % Interest In Account The undersigned (the joint tenants ) jointly and severally agree as follows: All transactions for the account of the joint tenants shall be subject to the terms and conditions of any agreement between you and the undersigned. Each of the joint tenants shall have the authority (a) to buy and sell securities and commodities on a margin or otherwise (including short sales), (b) to receive demands, notices, confirmations, reports, statements of account and communications of every kind, (c) to receive or withdraw money, securities, commodities, and other property either in my own name or otherwise, and to dispose of the same, (d) to execute agreements relating to the foregoing matters and to terminate, modify or waive any of the provisions thereof, and (e) generally to deal with you as fully as if I alone were interested in said account, all without notice to other joint tenant or tenants. Notwithstanding the foregoing, you are authorized, in your discretion, to require joint action by the joint tenants with respect to any matter concerning the joint account, including the giving or cancellation of orders, and the withdrawal of moneys, securities, or commodities. For the purpose of securing performance of the obligations of the joint tenants, you shall have a general lien upon all moneys, securities, commodities, and other property belonging to the joint tenants, either jointly or individually, which may at any time be in your possession or under your control for any purpose including safekeeping.
W-9 CERTIFICATION - Under penalties of perjury, I certify that: (1) the tax identification number shown on this form is my correct Taxpayer Identification Number, and (2) I am not subject to backup withholding either because I have not been notified that I am subject to backup withholding as a result of a failure to report all interest or dividends or the IRS has notified me that I am no longer subject to withholding, and (3) I am a U.S. person (including a U.S. resident alien). I understand that if I have been notified by the IRS that I am subject to backup withholding as a result of dividend or interest underreporting, and I have not received a notice from the IRS advising me that the backup withholding is terminated, I must strike out the language in (2) of this section and I understand I will be subject to backup withholding. If you are a non-resident alien or foreign entity not subject to backup withholding, please provide us an originally signed W-8BEN, Certificate of Foreign Status of Beneficial Owner. By signing this agreement, I (we) acknowledge that I (we) have received, understand and agree to all the provisions of this agreement. I (we) further acknowledge that I (we) have received and read the pre-dispute arbitration clause located in the Canaccord Genuity Inc. Account Agreement (paragraph 16, page 4) and I (we) agree to resolve any disputes arising out of my (our) account in arbitration (all joint partners must sign). I (we) acknowledge receipt of a copy of the Canaccord Genuity Inc. Account Agreement. ***Signature(s) Required*** Customer Signature Date Customer Name (please print) Joint Owner Signature (if applicable) Date Joint Owner Name (please print) Registered Representative Date Registered Representative (please print) Branch Manager/Principal Date Branch Manager/Principal (please print) Account Package current as of October 24, 2011
Account Number Privacy Notice As a Canaccord Genuity Inc. s client, you have entrusted to us your assets and your personal and financial data. We recognize that your relationship with us is based on trust, and that you expect us to act responsibly and in your best interest. Because your personal and financial information is private, we hold ourselves to the highest standards in its safekeeping and use. We may collect non-public personal information about you from the following sources: Information we receive from you on account applications or other forms, such as your name, address, telephone number, social security number/social insurance number, income, assets, and investment objectives; Information about your transactions with us, our affiliates, or others, such as your account numbers and balances, investment activity, and other transaction information; and Information from employers that administer employee benefits programs through us. We have adopted polices and procedures that are reasonably designed to ensure the security and confidentiality of customer information which includes consumer report information. In addition, these policies and procedures are designed to prevent unauthorized access to or use of customer records or information that could result in substantial harm or inconvenience to any customer. We use the information described above when administering your account. We may disclose non-public personal information in order to provide a service or complete a transaction that you request or authorize, or as otherwise required or permitted by the laws and industry standards that apply to us (i.e. anti-money laundering, regulatory requests). We restrict access to non-public personal information about you to our employees who need to access the information to provide products and services to you. We maintain physical, electronic and procedural safeguards to protect your nonpublic personal information. Confidential customer information is destroyed or shredded prior to disposal. Our privacy policies and procedures will continue to apply to your information even if your account is no longer active. For your protection, we recommend that you do not provide your account information to anyone. If you become aware of any suspicious activity relating to your account, please contact us at 1-617 371-3900 immediately. You may receive notices of changes to our privacy policies and procedures or periodic updates of this notice, as required by law. At Canaccord Genuity Inc., we are proud of the trust and confidence we have earned from you. We will continue to earn that trust and confidence by keeping your non-public personal information secure and confidential. Please contact Canaccord Genuity Inc. Inc. at 1.800.225.6201 or 1.617.317.3900 or in writing to Canaccord Genuity Inc. Inc., 99 High Street, Suite 1200, Boston, MA, 02110. 10/2011
Service Fee & Commissions Schedule Item Fee Commissions: First 500 shares $50 Next 500-999 shares $.07 per share After 1,000 shares $.05 per share Minimum $50 Other Fees: Transfer Accounts $35 Manual Transfer $60 Foreign Wire $25 Domestic Wire $20 Overnight Delivery $12 Extension Fees $10 Stop Check $10 Tenders & Exchanges (Reorg) $50 Inactive Account $100 Dividend Reinvestment $1 Safekeeping (per CUSIP per month) $2 Security Transfers $10 Security Transfers (Legal) $100 Checks (Pro-Check Plus Accounts) $10-$20 Paper Confirmation Statements $5 Per duplicate confirmation $5 This service fee schedule is not all inclusive. There may be additional fees for other services requested. Please inquire. 10/2011
Customer Identification Program Notice Important Information You Need to Know About Opening a New Account To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account. This Notice answers some questions about Canaccord Genuity Inc. Inc. s ( CAI ) Customer Identification Program. What types of information will I need to provide? When you open an account, CAI is required to collect information such as the following from you: Your name Date of birth Address Identification number: - U.S. Citizen: taxpayer identification number (social security number or employer identification number) - Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you. You may also need to show your driver s license or other identifying documents. A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement. U.S. Department of the Treasury, Securities and Exchange Commission, NASD, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance. What happens if I don t provide the information requested or my identity can t be verified? CAI may not be able to open an account or carry out transactions for you. If CAI has already opened an account for you, we may have to close it. We thank you for your patience and hope that you will support the financial industry s efforts to deny terrorists and money launderers access to America s financial system. Source: FINRA 10/2011
Business Continuity Plan Notice Canaccord Genuity Inc. is committed to providing a consistently high level of service to its clients. Certain events beyond the control of the firm could impact our ability to meet this goal. These events, or significant business disruptions, may include temporary inability to access facilities due to storms or local or regional power outages; natural disasters such as fire, flood, or hurricane; or intentional malicious attacks on facilities, systems, or personnel. In accordance with FINRA Rule 4370, and IDA By-Law 17.19, Canaccord Genuity Inc. has developed and maintains a Business Continuity Plan (BCP) to address the impact of potential significant business disruptions. The BCP has been designed to reasonably enable Canaccord Genuity Inc. to provide for continued operations of critical functions to meet its obligations to customers. Canaccord Genuity Inc. has designated a senior executive in charge of its business continuity program who is responsible for conducting an annual review of the plan. Named business continuity representatives are responsible for maintaining the plan to reflect any material changes to the firm's operations, structure, business, or locations. Additionally, the business continuity representatives are called upon to lead the resumption of operations should a significant business disruption occur. The Canaccord Genuity Inc. s BCP assesses the financial and operational risks of varying degrees of significant business disruptions, including building, citywide, and regional events. It identifies plans to protect and restore critical business processes, records, data, systems, and facilities. Depending on the nature of the disruption, our goal is to restore the most critical functions within a matter of hours, while less critical functions would be restored within several days. For security reasons, the specific details of our business resumption plan are not disclosed in this notice. However, Canaccord Genuity Inc. would like its clients to know that our BCP provides for a wide range of business continuance mechanisms, such as power generators, redundant components, systems, and communication technologies, and the implementation of alternate work and computing facilities. The BCP addresses methods for communicating to customers, employees, counter-parties and other constituents in the event of a disruption, as well as ongoing communication with and reporting to regulators. Finally, in the event that a serious disaster forces Canaccord Genuity Inc. to discontinue operations, the plan addresses the mechanisms to provide customers with prompt access to their funds. Canaccord Genuity Inc. s BCP is subject to periodic review and modification. Should material changes to the plan occur, this notice will be updated accordingly. Customers may request more information regarding the Canaccord Genuity Inc. s BCP by contacting bcp@canaccordgenuity.com. 10/2011
Standard Wire Instructions (Please use this form to establish standing instructions for wire distributions, if applicable) Name: #: Bank Name: Bank City/State/Country: ABA / SWIFT / SORT / BSB #: Bank Account #: Account Name: For Further Credit to: Requested by: Print Name Signature Date Note: Wire instructions should be specific. Ownership of accounts at the sending and receiving institutions must be identical.
Checklist Have you! Completed and signed the New Account Form! Completed and signed the W-8BEN (for non-u.s. citizens)! Read and understand the Privacy Policy! Read and understand the Fee Schedule! Read and understand the Customer Identification Program Notice! Red and understand the Business Continuity Plan Notice! If a Trust Account, included the Trust Agreement! Kept a copy for your records