Investor Application

Step 1 of 8

Your investment

What you are considering. Nothing here is binding.

Estimated investment amount

An estimate is fine — you can change it later.

Investment vehicle / account type

Investment type

Preferred Share Class BSelected by default Preferred Share Class R

Not sure which applies? Leave the default — your dealing representative will confirm the right class before subscription.

Registered account held with

Choose Waiting to register if the plan has not been opened yet — we will set it up with you.

Name of trustee

Plan / account number Optional

Leave blank if you do not have it to hand.

Preferred call time

All times Eastern, Monday to Friday.

Step 2 of 8

Personal information

Your name, address and how we reach you.

Last name

First name

Initials Optional

Street address

City

Province / territory

Country

Postal code

Email address

Telephone

I consent to you sending me/us email and or text messages about my/our accounts.

I consent to you sending me/us email and or text messages about your products and services.

Optional — you can say no and still apply.

Step 3 of 8

Identity and residency

Required by the dealer to verify who you are. Sent encrypted.

Citizenship

Tax residence (if not Canada) Optional

Leave blank if you are resident in Canada for tax purposes.

Foreign tax identification number(s) Optional

Social Insurance Number

Required for registered plans and tax reporting. Sent encrypted; never stored in your browser.

Date of birth

Driver's licence number

Or another government photo ID — the dealer will ask for a copy.

Issuing jurisdiction

Step 4 of 8

Employment, family and account

Your work, household, and who else may be on the account.

Occupation

Name of employer / business Optional

If you are self-employed, what is your business name? Optional

Civil status / family situation

Number of dependents

Is this a joint account?

Yes No

A joint holder must complete their own separate application.

Joint holder — last name

Joint holder — first name

Joint holder — initials Optional

Right of survivorship?

Yes No

Is a third party authorized to transact on your account?

Yes No

Third party — last name

Third party — first name

Third party — initials Optional

Third party — street address

Third party — city

Third party — province

Third party — country

Third party — postal code

Does the third party have a financial interest in the account?

Yes No

Step 5 of 8

Other declarations

Two questions anti-money-laundering and securities rules require us to ask.

Are you, or a member of your family, a PEFP, PEDP or HIO?

Yes No

What do these mean?

PEFP — a politically exposed foreign person: head of state, member of an executive council or legislature, deputy minister, ambassador, senior military officer, head of a state-owned company or bank, judge, or leader of a political party in a legislature — in another country.
PEDP — a politically exposed domestic person: the same kinds of office in Canada, including Governor General, senator or MP, deputy minister, ambassador, general, head of a federal or provincial agency, appellate judge, party leader or mayor — currently or within the last five years.
HIO — head of an international organization established by governments, or of one of its institutions, or of an international sports organization.

Family means parents, children, siblings, spouses or common-law partners (including former ones), and the parents of those spouses. A close associate also counts. Answering yes does not disqualify you — it adds a review step.

Are you currently a director, officer or insider of a reporting issuer, or a reporting insider?

Yes No

What counts as a reporting issuer or insider?

A reporting issuer is a company that has filed a prospectus or is listed on an exchange. A reporting insider includes its CEO, CFO, COO, directors and significant shareholders — or anyone with access to material non-public information about it, or significant influence over it.

Which applies? Tick every one that does.

PEDP — politically exposed domestic person PEFP — politically exposed foreign person HIO — head of an international organization Reporting issuer Reporting insider

This completes Schedule A of the application.

PEDP — name of the person