and Non-Personal Account Application

Transcription

1 BMO InvestorLine Corporate, Trust, Estate and n-personal Account Application DBUSINESS A FOR QUICKER AND MORE B efficient service, please complete all relevant sections A new account Updating an existing account Account : English French BMO InvestorLine Account : Partnership Corporation Investment Club Estate Sole Proprietorship Trust Other (all investment accounts Cash Margin with Short Selling operate in both U.S. and Canadian dollars): Margin Margin with Options Legal (registered) name of Business or Organization Registered Trade (if different from above) BN/TAN Please provide your Business or Trust Account (if applicable) Legal Address (jurisdiction where registered) Contact s position at the company Pro* BMO Staff All sections Only the relevant sections. A FEW DETAILS ABOUT the business or organization Contact s Last First Title Send Mail to Legal Address. Business Phone of Incorporation/Registration (t required (area code, no. ext.) (for Estate or Trust) Place of Incorporation/Registration (t Required for Estate or Trust) City C The business or organization (or affiliate) is: A publicly traded company, or a publicly traded trust Security Symbol: Exchange: A Bank, Caisse Populaire, Credit Union, Insurance company, Investment Manager, Trustor Loan company, Mutual Fund, CLASSIFICATION of business or organization (check the appropriate box) Regulator : An Estate or a Testamentary Trust established under an Estate A Government-owned corporation or organization, Church or Union A Trust, or is not one of the entities listed above. If yes, please list all countries: Operations Business Operations include, but are not limited to: any physical presence in a foreign country as evidence by having a product or service facility, an office, a storefront, a sales force, etc.; an account or conduct of business with a foreign financial institution; dealings with a foreign government body or official. s Registered trade-marks of Bank of Montreal, used under licence. BMO InvestorLine Inc. is a wholly owned subsidiary of Bank of

2 E What is your Primary Business Activity of the business or organization listed above? Operate as a: Registered Charity t for Profit Organization + * - * ) ' ''''''''''''''''''' Please provide your CRA Charity Registration Does your organization solicit financial donations from the public? Operate a If yes, do you have an existing account with the BMO Financial Group? IIf yes, please provide your account number: Operate a Operate, lease or maintain a Buy or sell or deal in BUSINESS Activity Operate a Sell Operate as an Create or trade in Operate a Operate a Operate an account for a of country: Operate an account for any of the following formed outside of Canada or U.S.: of country: Operate a e Operate a F business BMO Transit BMO Account FINANCIAL information of the business or organization (Cash & Securities less loans outstanding against securities) (Fixed assets less liabilities (C = A + B) $ Source of Funds BMO Bank Address Address Continued Intended use of the Account BMO Harris Platinum Bank Transit & Account number same as above Transit Account : : G WITH your security in mind you will be asked to change this temporary password. Password for your Account

3 H Officer Please contact BMO InvestorLine or visit our web site for additional forms. Preferred Language: Country of Citizenship English French Residence Pro* BMO Staff Sole Owner directly or indirectly in the account) Title Last First Home Address (number, street) Primary Phone (area code, no.) Secondary Phone (area code, no., ext.). Fax. Other Daytime Phone TELL US ABOUT the authorized trading officer Mailing Address if different from above Marital. of of Birth Status Dependants () SIN Employer s Address Employer Job Description Employer s Phone Occupation. I personal BMO Transit BMO Account FINANCIAL information BMO Bank Address Address Continued J FOR OPTIONS account applications 3. Experience with: ne Long Calls or Puts Covered Naked Spreads 4. Please indicate what type of options trading you would like to do: Long Calls or Puts Covered Spreads K PROTECTION of your privacy You agree that, at the time you begin a relationship with us and during the course of our relationship, we may collect, use and disclose your protect us both from fraud and error, comply with legal and regulatory requirements, and market products and services to you.

4 L Company (s): PLEASE PROVIDE DETAILS if you answer YES to the following questions Company : Financial Institution(s): Account Type: Account Type: 5. Will this account only be used by by the you authorized and only signatories for your personal (i.e. Authorized transactions Trading (Excluding: Officer, Executor/Liquidator, Joint account holders, Guarantor Trading and Agent, Trustee) Power to provide of instructions to deal with this account exclusively for the purpose of your own business transactions? If no, please complete the Third Party Information form. Please contact BMO InvestorLine for this form M NOW TELL US about your spouse or common-law partner Last First Title Occupation Employer s Address Employer Job Description Employer s Phone Int. N service. This service allows you to combine your investment and banking activities all in one account. A starter cheque kit will be mailed to you once the account is opened. If you do not have an existing relationship with BMO Bank of Montreal, an AccountLink card will be mailed to you. If you have an existing relationship with BMO Bank of Montreal, 2 please provide us with the following information: ACCOUNTLINK service Card # and connect the account as: Primary Primary 3 I also wish to have the U.S. Dollar AccountLink service to be able to bank in U.S. funds. Refer to Section Three, Part F of your Client Agreements. 2 FirstBank Card or BMO Bank of Montreal MasterCard. 3 If connected as an Other O SIGNATURES We are required under securities law to obtain your instructions concerning the various matters below relating to your holding of securities in your account. Please read the National Instrument Reporting Issuer, in Section Three, Part C of the Client Agreement. You may disclose my name, address, , securities holdings and preferred language of communication (English or French) to issuers of securities I hold with you and to other persons or companies in accordance with securities law. sociated with providing shareholder materials to you. Please mark the corresponding box to show what materials you of securities consist of the following materials: a) proxy-related materials for annual and special meetings; b) annual reports and and c) materials sent to securityholders that are not required by corporate or securities law to be sent. I WANT to receive ALL securityholder materials sent to I DECLINE to receive ALL securityholder materials sent to these types of materials, I understand that a reporting issuer or other person or company is entitled to send these materials to me at its expense.) I WANT to receive ONLY proxy-related materials that are sent in connection with a special meeting. These instructions do not apply to any of the reporting issuer. In addition, in some circumstances, the instructions you give in this application form will not apply to that are not part of proxy-related materials. An investment fund you wish to receive its annual report or I understand that the materials I receive will be in my preferred language of communication if the materials are available in that language.

5 CONTINUED Securities law permits us to deliver some documents by electronic means if we obtain your consent. I CONSENT to receiving documents by electronic means and have provided my in section A of the application. I DO NOT CONSENT to receiving documents by electronic means. this application, I have read and understand the explanation that you have provided me in connection with the National Instrument Reporting Issuer. The choices I have indicated above apply to all of the securities held in the account. By signing below, I acknowledge that from time to time, BMO InvestorLine may send me information, including direct marketing messages, in order to better understand my needs and make me aware of appropriate products and services. I am also aware that my SIN may be used for administrative and tax reporting purposes. I may change my preferences stated above at any time by contacting BMO InvestorLine. The servicing of my account as per this agreement is in no way conditional or dependent on my preferences. I acknowledge that I cannot opt out of sharing my personal information where I have requested a product or service that is offered jointly by BMO InvestorLine and another member of BMO Financial Group I acknowledge that BMO InvestorLine Inc. does not give personal tions to me and does not accept any responsibility to advise me on the suitability of any of my investment decisions or transactions. I acknowledge that I am responsible for any investment decisions as edge that it is my obligation to comply with the requirements of the Toronto Stock Exchange respecting entry and trading of orders and that BMO InvestorLine Inc. reserves the right to reject, change or remove any order which I may enter or to cancel any trade resulting from an order which I entered which is not in compliance with the requirements of the Toronto Stock Exchange. I acknowledge that I have been advised that BMO InvestorLine Inc. is an Introducing Broker and BMO Nesbitt Burns Inc. is a Carrying Broker for my account. BMO InvestorLine Inc. is responsible for all compliance requirements for my account. For accounting and regulatory purposes, I am considered a client of BMO Nesbitt Burns Inc. BMO Nesbitt Burns Inc. is responsible for trade execution and tions and account statements. Client cash balances in nonregistered accounts are held by BMO Bank of Montreal, and client cash balances in registered accounts are held by BMO Trust Company. I meet all provisions of the treaty that are necessary to claim a provisions and derives the income within the meaning of section owner(s). Please refer to Section Four, Part E of the Client Agreement for further details. We are committed to protecting all of the personal information you share with us in order to maintain your privacy. It is our top priority we gather is used to verify your identity and protect you and BMO InvestorLine against fraud, to set up and manage products and services you have requested and to satisfy the regulatory obligations of our industry. Please provide a photocopy of 2 pieces of ID, one of which must be a photo ID. If you have a BMO InvestorLine account and/or a BMO Bank of Montreal account, please write you SIN and account number(s) on the photocopy. If you do not have a BMO InvestorLine account or a BMO Bank of Montreal account, present your 2 pieces Montreal branch. Account (CDN): AccountLink (U.S.): Approved by Comments: Cash Margin Short Purchases Covered Spreads ne one of which is a valid photo ID. (please print) (include area code no., ext.) OFFICE USE ONLY FSM FSM Transit (please print) EIN # NBIA: Harris Private IFS: Bank: May 17, 2013