Questions for Advisors

Questions for Advisor

Advisor info
Questions
Knowledge

First Name

Last Name

E-mail

Is this for?

Managed client

Unmanaged client

fee (in %) for the first $500 000.00

fee (in %) for the next $500 000.00

fee (in %) for the next $1 000 000.00

fee (in %) for the next $2000 000.00

Select

E signature

Wet signature

Liquid assets

Registed accounts

Non-registered accounts

Fixed assets

House value

Mortgage amount

Numbers of years you know the client

Investment objective

Income and growth

Growth

Other

If other

Is client transferring account to us?

Yes

If yes, Institution and Account number

Type

Kind

Cash

Partial

Confirm beneficiary if client has not

First Name	Last Name	Pourcentage of Estate

Are you or any of your family members or close associates a Politically Exposed Person / Head of International Organization as defined under AML regulations?

Yes

If yes, indicate the name of the company or companies and their stock symbol(s)

Are you a reporting insider within the meaning of the regulation (refer to section 1.18 in the Client Account Agreement)?

Yes

If yes, indicate the name of the company or companies and their stock symbol(s)

Do you, as an individual or as part of a group, hold a controlling interest (am a significant shareholder) in such a company?

Yes

If yes, indicate the name of the company or companies and their stock symbol(s)

Does anyone other than the persons named on the account(s):

(a) Have any authority over the account (ex. Power of Attorney, trading authority)?

Yes

If yes, state name, iAPW account(s) (if not an account holder, complete a second party supplement form):

(b) Have any financial interest in the account(s)?

Yes

If yes, state name:

Yes

If yes, state name and include guarantee form:

Are you or a member of your family (spouse, partner, children, parents) with whom you live an employee, agent, officer or director of an investment dealer, stock exchange itself or the IIROC (Investment Industry Regulatory Organization of Canada)?

Yes

If yes, please provide details:

Has the Investment Advisor a direct or indirect interest in the account other than an interest in commissions or in compensation relating to the services provided?

Yes

If yes, please provide details:

Do you trade or intend to trade with other investment firms?

Yes

If yes, please provide details:

Do you have any other accounts with us?

Yes

Account Number(s) (add as many you need)

Account Number

Are you or any of your family members or close associates a Politically Exposed Person / Head of International Organization as defined under AML regulations? Please refer to the Client Account Agreement section 1.25 for detailed definitions.

(a) Foreign Politically Exposed Person

Yes

(b) Domestic Politically Exposed Person

Yes

If yes, please indicate why:

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