T5008/RL18 Fund Company Preference

Transcription

1 T5008/RL18 Fund Company Preference Fund Company preference as to whether they can support dealer requests to either suppress or send reporting of T5008/RL18 to CRA and RQ for dealer nominee accounts by Dealer Code Able to Support by Dealer Code Preference for Reporting to CRA/RQ for Fund Company Name Fund Mgmt code Nominee Clients? Exceptions/Additional Comments Date Added or Modified IA Clarington Investments CCM Yes 7-Dec-16 Wealhouse Capital Management WEA Yes 8-Dec-16 QV Investors Inc. QVG Yes 8-Dec-16 National Bank Investment Inc. NBC Yes 8-Dec-16 Gestion Ferique FER Yes 8-Dec-16 Fiera Capital Corporation FIA Yes 8-Dec-16 Corporation de services du Barreau du Quebec FBQ Yes 8-Dec-16 CIBC Mutual Funds CIB No 8-Dec-16 CIBC Asset Management Inc. ATL No 8-Dec-16 Middlefield Group MID Yes 8-Dec-16 Global Growth Assets Inc. GPF No 8-Dec-16 AIP Asset Management Inc. AIP No 8-Dec-16 TriDelta Investment Counsel Inc. TRD No 8-Dec-16 Bellwether Investment Management Inc. TWC Yes 8-Dec-16 Beutel Goodman & Co Ltd BTG No 8-Dec-16 AGF Management Limited AGF Yes 8-Dec-16 Harmony HAR Yes 8-Dec-16 Sun Life Global Investments SUN No 9-Dec-16 Fidelity Investments Canada ULC FID Yes 9-Dec-16 Steadyhand Investment Funds Inc. SIF No We do not produce T5008 on Nominee Accounts 9-Dec-16 Auspice Capital Advisors Inc. ACA No We do not produce T5008 on Nominee Accounts 14-Dec-16 Accilent Capital Management Inc. ACP No We do not produce T5008 on Nominee Accounts 14-Dec-16 Algonquin Capital Corporation AGQ No We do not produce T5008 on Nominee Accounts 14-Dec-16 Alitis Investment Counsel Inc. ALI No We do not produce T5008 on Nominee Accounts 14-Dec-16 AlphaNorth Asset Management ANF No We do not produce T5008 on Nominee Accounts 14-Dec-16 Antares Investment Management Inc. ANT No We do not produce T5008 on Nominee Accounts 14-Dec-16 BloombergSen Inc. BBG No We do not produce T5008 on Nominee Accounts 14-Dec-16 Barometer Capital Management Inc. BCM No We do not produce T5008 on Nominee Accounts 14-Dec-16 Cortland Credit Group Inc. CCG No We do not produce T5008 on Nominee Accounts 14-Dec-16 Canadian Horizons Settlement Copr. CHS No We do not produce T5008 on Nominee Accounts 14-Dec-16 Crystalline Management Inc. CRY No We do not produce T5008 on Nominee Accounts 14-Dec-16 Covenant Capital Management Inc. CVT No We do not produce T5008 on Nominee Accounts 14-Dec-16 Caldwell Investment Management Inc. CWT No We do not produce T5008 on Nominee Accounts 14-Dec-16 Cygrus Investment Partners CYG No We do not produce T5008 on Nominee Accounts 14-Dec-16 Donville Kent Asset Management Inc. DON No We do not produce T5008 on Nominee Accounts 14-Dec-16 Equilibrium Capital Management Inc. ECM No We do not produce T5008 on Nominee Accounts 14-Dec-16 Equiton Capital Inc. EQP No We do not produce T5008 on Nominee Accounts 14-Dec-16

2 East West Investment Management Corporation EWF No We do not produce T5008 on Nominee Accounts 14-Dec-16 Fieldhouse Capital Management Inc. FHC No We do not produce T5008 on Nominee Accounts 14-Dec-16 Grafton Asset Management Inc. GAM No We do not produce T5008 on Nominee Accounts 14-Dec-16 Goodman & Company GDM No We do not produce T5008 on Nominee Accounts 14-Dec-16 GFI Investment Counsel GFI No We do not produce T5008 on Nominee Accounts 14-Dec-16 Groundlayer Capital Inc. GRL No We do not produce T5008 on Nominee Accounts 14-Dec-16 Hillsdale Investment Management Ltd. HIL No We do not produce T5008 on Nominee Accounts 14-Dec-16 HSBC Bank Canada Inc. HSP No We do not produce T5008 on Nominee Accounts 14-Dec-16 Capital Direct Management Ltd. ITI No We do not produce T5008 on Nominee Accounts 14-Dec-16 JM Fund Management Inc. JMF No We do not produce T5008 on Nominee Accounts 14-Dec-16 Kensington Capital Partners Limited KEN No We do not produce T5008 on Nominee Accounts 14-Dec-16 K2 & Associates Investment Management Inc. KPT No We do not produce T5008 on Nominee Accounts 14-Dec-16 LionGuard Capital Management Inc. LGC No We do not produce T5008 on Nominee Accounts 14-Dec-16 Lightwater Partners Ltd. LWP No We do not produce T5008 on Nominee Accounts 14-Dec-16 MacNicol & Associates Asset Management Inc. MAC No We do not produce T5008 on Nominee Accounts 14-Dec-16 Majestic Asset Management LLC MAJ No We do not produce T5008 on Nominee Accounts 14-Dec-16 National Bank Correspondent Network Inc. NBN No We do not produce T5008 on Nominee Accounts 14-Dec-16 NorthStream Capital Inc. NCI No We do not produce T5008 on Nominee Accounts 14-Dec-16 NewGen Asset Management Limited NEW No We do not produce T5008 on Nominee Accounts 14-Dec-16 Portfolio Strategies Corporation PAI No We do not produce T5008 on Nominee Accounts 14-Dec-16 Palos Management Inc. PAL No We do not produce T5008 on Nominee Accounts 14-Dec-16 Polar Asset Management Partners Inc. POL No We do not produce T5008 on Nominee Accounts 14-Dec-16 Palisade Capital Management Ltd. PSD No We do not produce T5008 on Nominee Accounts 14-Dec-16 Acker Finley Asset Management Inc. QSA No We do not produce T5008 on Nominee Accounts 14-Dec-16 Qwest Investment Fund Management Ltd. QWE No We do not produce T5008 on Nominee Accounts 14-Dec-16 Robson Capital Management Inc. RBS No We do not produce T5008 on Nominee Accounts 14-Dec-16 RP Investment Advisors RPD No We do not produce T5008 on Nominee Accounts 14-Dec-16 Yorkville Asset Management Inc. SBH No We do not produce T5008 on Nominee Accounts 14-Dec-16 Stratigis Capital Advisors Inc. SCA No We do not produce T5008 on Nominee Accounts 14-Dec-16 Stephenson & Company Capital Management Inc. SCO No We do not produce T5008 on Nominee Accounts 14-Dec-16 Silvercreek Management Inc. SIL No We do not produce T5008 on Nominee Accounts 14-Dec-16 Spartan Fund Management Inc. SPA No We do not produce T5008 on Nominee Accounts 14-Dec-16 Lorne Steinberg Wealth Management Inc. SWF No We do not produce T5008 on Nominee Accounts 14-Dec-16 SIA Wealth Management Inc. SWI No We do not produce T5008 on Nominee Accounts 14-Dec-16 Timbercreek Asset Management Ltd. TBR No We do not produce T5008 on Nominee Accounts 14-Dec-16 Tri City Mortgage Fund Ltd. TCF No We do not produce T5008 on Nominee Accounts 14-Dec-16 Tempered Investment Management Ltd TEM No We do not produce T5008 on Nominee Accounts 14-Dec-16 Terra Fund Management Ltd. TER No We do not produce T5008 on Nominee Accounts 14-Dec-16 Triumph Asset Management Inc. TPH No We do not produce T5008 on Nominee Accounts 14-Dec-16 Turtle Creek Asset Management Inc. TUR No We do not produce T5008 on Nominee Accounts 14-Dec-16 Bellwether Investment Management Inc. TWC No We do not produce T5008 on Nominee Accounts 14-Dec-16 Vision Capital Corporation VCC No We do not produce T5008 on Nominee Accounts 14-Dec-16 Venator Capital Management Ltd. VCM No We do not produce T5008 on Nominee Accounts 14-Dec-16 Vantage Point Investment Management Inc. VPM No We do not produce T5008 on Nominee Accounts 14-Dec-16 Walton International Group Inc. WAL No We do not produce T5008 on Nominee Accounts 14-Dec-16 W.A. Robinson Asset Management Ltd. WAR No We do not produce T5008 on Nominee Accounts 14-Dec-16 West Face Capital Inc. WFC No We do not produce T5008 on Nominee Accounts 14-Dec-16 WELLS Asset Management Systems Inc. WMS No We do not produce T5008 on Nominee Accounts 14-Dec-16

3 YTM Capital Asset Management Ltd. YTM No We do not produce T5008 on Nominee Accounts 14-Dec-16 Mackenzie Financial Corporation MFC Yes 14-Dec-16 Counsel Portfolio Services CGF Yes 14-Dec-16 Mackenzie Financial Corporation MGW No Seg funds do not file T Dec-16 Mackenzie Financial Corporation MRD No Only Permits RDSP accounts. No reporting 14-Dec-16 Primevest Capital Alc No All Nominee Accounts Suppressed 14-Dec-16 Aventine Management AMG No All Nominee Accounts Suppressed 14-Dec-16 BT Global Growth BTA No All Nominee Accounts Suppressed 14-Dec-16 Centurion CEN No All Nominee Accounts Suppressed 14-Dec-16 Discovery Capital DCC No All Nominee Accounts Suppressed 14-Dec-16 Lester Asset Management LAF No All Nominee Accounts Suppressed 14-Dec-16 Maxam Capital LIM No All Nominee Accounts Suppressed 14-Dec-16 Magna Mutual funds MAG No All Nominee Accounts Suppressed 14-Dec-16 ACM Advisory MOR No All Nominee Accounts Suppressed 14-Dec-16 R.N. Croft Financial TCG No All Nominee Accounts Suppressed 14-Dec-16 Triasima TPM No All Nominee Accounts Suppressed 14-Dec-16 CADO Investment CDO No All Nominee Accounts Suppressed 14-Dec-16 Foresters Financial AFM No Adroit Investment Management Ltd AGL No Aston Hill Asset Management Inc. AHF No Arrow Capital Management Inc. AHP No Aviva Investors Ameriscas LLC AIA No Aurion Capital Management Inc. AUR No Bullion Management Services Inc. BMG No Connor, Clark & Lunn Investment Management Ltd. CCL No Cypress Capital Management Ltd. CML No LDIC INC. DAM No

4 Dimensional Fund Advisors Canada Inc. DFA No Deans Knight Capital Management Ltd. DKC No Greenchip Financial Corp. ECO No Equate Asset Managment Inc EQT No Galibier Capital Management Ltd. GCF No Guardian Capital LP GCG No Genus Capital Management Inc. GCM No Investec Asset Management Guernsey Limited IAM No Jarislowsky Fraser Limited JRF No Kingwest & Company KWC No Matco Financial Inc. MAT No Marquest MIC No Next Edge Capital Corp. NEC No Onex Credit Partners, LLC OCP No Optimum Asset Management Inc. OPI No SEI Investments Canada Company PCA No

5 Picton Mahoney Asset Management PIC No Pavilion Advisory Group Ltd PIF No Perennial Asset Management Corp. PMA No PIMCO Canada Corporation PMC No QV Investors Inc. QVG No RBC Dominion Securities Inc. RBB No RBC Dominion Securities Inc. RBC No RBC Funds RBF No RBC Global Asset Management Inc. RBL No Resolute Funds Limited RES No Schroder Investment Management (Luxembourg) S.A. SCH No Fiera Capital Corporation SIC No Sprott Asset Management LP. SPR No Sun Life Global Investments (Canada) Inc. SUN No Thornmark Asset Management Inc. TAM No Third Eye Capital Management Inc. TEC No

6 Value Partners Investments Inc. VPI No Wealthco Asset Management Inc. WCO No Heritage Yorkville Mutual Fund Corporations YAM No Investment Partners Fund IPF No 14-Dec-16 Franklin Templeton Investments TML Yes 14-Dec-16 Franklin Rempleton Offshore FTO No 14-Dec-16 BMO Mutual Funds GGF No 14-Dec-16 BMO Mutual Funds JHI No 14-Dec-16 BMO Deposit Products AAT No 14-Dec-16 BMO Structured Notes JHN No 14-Dec-16 BMO Life Assurance BLA No 14-Dec-16 BMO Bullion MTL No 14-Dec-16 Alliance Bernstein ABF No Dealer will handle the CRA/RQ Reporting 14-Dec-16 Scotia Funds/1832 Asset Management LP BNS No Not abble to supprt dealer codes preference in 2016 T5008 file is sent to CRA for all dealers 14-Dec-16 Acorn Global Investments Inc. ACN No 16-Dec-16 Antrim Investment Ltd. ABM Yes 16-Dec-16 Black Swan Dexteritas Inc. BSD No 16-Dec-16 Bristol Gate Capital Partners Inc. BGC No 16-Dec-16 East West Investment Management Corporation SWA No 16-Dec-16 Erwin Morris & Co. Investment Partners Inc. EMC No 16-Dec-16 Fiera Capital Corporation FCO No 16-Dec-16 Fulcra Asset Management Inc. FAM No 16-Dec-16 Golden Opportunities Fund Inc. GOF Yes 16-Dec-16 Growth Works Capital Ltd. WOF Yes 16-Dec-16 Hamilton Capital Partners Inc. HCP No 16-Dec-16 HGC Investment Management Inc. HGC No 16-Dec-16 Invico Capital Corporation ICC Yes 16-Dec-16 K.J. Harrison & Partners Inc. KJH No 16-Dec-16 KV Capital Inc. KVC Yes 16-Dec-16 Lakeroad Asset Management LKD No 16-Dec-16 Magenta Capital Corporation MMI No 16-Dec-16 MCOCI Mortgage Company of Canada Inc. MIC MCO No 16-Dec-16 Metric Asset Management FQL No 16-Dec-16 Rayne Capital Management Inc. PPM No 16-Dec-16 Romspen Investment Corporation RIC No 16-Dec-16 SaskWorks Venture Fund Inc. CCP Yes 16-Dec-16 Wealhouse Capital Management WEA No 16-Dec-16 WARATAH Capital Advisors Ltd WCA No 16-Dec-16 Delbrook Capital Advisors Inc. DCA Yes 16-Dec-16 Dixon Mitchell Investment Counsel DMI Yes 16-Dec-16 Espresso Capital Ltd ESP Yes 16-Dec-16

7 Forge First Asset Management Inc. FOR Yes 16-Dec-16 EnTrust Focus Partners EFP No 16-Dec-16 Nicola Wealth Management NWM No 16-Dec-16 Ross Smith Asset Management ROS No 16-Dec-16 Dynamic Funds DYN Yes For 2016, we will continue with the current setup already in place for each dealer. Starting 2017 we will look to the new changes outlined by the CRA to IFIC for reporting Purposes 19-Dec-16 Sun Life Assurance Company of Canada SLF No 19-Dec-16 Assumption Life ALM No ALM does not have nominee clients 19-Dec-16 OceanRock Investments SRI Yes MFDA Nominee ONLY 19-Dec-16 Desjardins Funds DJT If we file we Print 19-Dec-16 Northwest and Ethical Investments L.P. NWT If we file we Print 19-Dec-16 Crystal Wealth Management System Ltd. AAG Yes 19-Dec-16 CIBC Asset Management Inc. ATL No 19-Dec-16 Bridgehouse Asset Managers BIP Yes 19-Dec-16 BlackRock Asset Management Canada Limited BLK Yes 19-Dec-16 B2B Bank BTB N/A 19-Dec-16 Capital International Asset Management (Canada) Inc. CIF Yes 19-Dec-16 Dynamic Mutual Funds Ltd DYN Yes 19-Dec-16 Equitable Bank EQB N/A 19-Dec-16 Excel Funds Management Inc. EXL Yes 19-Dec-16 Fidelity Advisor World Funds FAW N/A 19-Dec-16 Friedberg Mercantile Group FCM N/A 19-Dec-16 Finanviere des Professionnels - Fond D'Investissemen FDP Yes 19-Dec-16 Russell Investments Canada Limited FRC N/A 19-Dec-16 Canoe Financial Limited Partnership GOC Yes 19-Dec-16 Home Bank HOB N/A 19-Dec-16 Home Trust Company HOM N/A 19-Dec-16 Harvest Portfolios Group Inc. HRV N/A 19-Dec-16 Indusrial Alliance Insurance and Financial Services Inc INA N/A 19-Dec-16 Tangerine Investment Management Inc. INI N/A 19-Dec-16 Mawer Investment Management Ltd. MAW Yes 19-Dec-16 Merrill Lynch Canada Inc. MER N/A 19-Dec-16 Sentry Investments Inc. NCE Yes 19-Dec-16 NGAM Canada LP NXG Yes 19-Dec-16 PIMCO Canada Trusts PIM N/A 19-Dec-16 Pinnacle Funds PIN N/A 19-Dec-16 PIMCO Canada Corp. PMO Yes 19-Dec-16 Scotiabank & Trust (Cayman) Ltd. SBF N/A 19-Dec-16 Stone & Co. Limited SCL Yes 19-Dec-16 Zag Bank ZAG N/A 19-Dec-16 Addenda Capital Inc. ADD Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 AlphaPro Management Inc. APM Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Barrage Capital BRG Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16

8 Brandywine Global Investment Management (Canada) LMC Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Brompton Funds Limited CAM Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Brookfield Investment Management (Canada) Inc. BIM Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Chou Associates Management Inc. CHO Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 CIBC Asset Management Inc. CBH Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 CIBC World Markets CBL Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Connor, Clark & Lunn Private Capital Ltd. MPI Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Davis Rea Ltd. Investment Management DRL Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Edgepoint Wealth Management Inc. EDG Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Federated Investors Canada ULC FED Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 First Asset Investment Management Inc. FAF Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Foyston, Gordon & Payne Inc. FGP Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Front Street Capital FSC Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Galileo Global Equity Advisors Inc. GAL Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Globevest Capital Ltd. GVC Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Gluskin Sheff and Associates GLS Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 JovFinancial Solutions Inc. JOV Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 J. Zechner Associates Inc. JZA Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Landry Investment Management Inc. LDM Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Laurus Investment Counsel Inc. LAU Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Leith Wheeler Investment Counsel Ltd. LWF Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Lincluden Management Inc. LML Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 McLean & Partners Wealth Management Ltd. MPW Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Morgan Meighen & Associates Ltd. MMA Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16

9 Norrep Fund NRP Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Penderfund Capital Management PGF Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Perron & Partners Wealth Management corp. KIP Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Portland Investment Counsel Inc. PTL Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Purpose Investments Inc. PFC Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Radin Capital Partners Inc. RDN Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Redwood Asset Management Inc. CWC Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Redwood Asset Management Inc. RAM Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 R.E.G.A.R. Investment Management RGP Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Return on Innovation Advisors Ltd. ROI Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Scotia Capital Inc. SSP Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Scotia Managed Companies SMA Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Sherpa Asset Management Inc. SHP Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Taylor Asset Management Inc. TAY Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Tradex Management Inc. TMI Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 UBS Global Asset Management (Canada) Inc. UGA Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Vertex One Asset Management VRT Yes Cannot differentiate between IIROC and MFDA dealers. 22-Dec-16 Invesco Canada ATS Yes Choice is inclusive of reporting to the CRA as well as issuing of slip. There cannot be separate preference per item 28-Dec-16 Invesco Canada AIM Yes Choice is inclusive of reporting to the CRA as well as issuing of slip. There cannot be separate preference per item 28-Dec-16 HSBC Global Asset Management (Canada) Limited HKB N We do not Support to report T5008/RL18 to CRA/RQ for external dealers 4-Jan-17