BMO InvestorLine e t a A Est n tio a E c MOR T e AND t a r n ou QUICKER cc … · 2013-05-17 · cc...

5
FOR QUICKER AND MORE B BMO InvestorLine Corporate, Trust , Estate and Non-Personal Account Application efficient service, please complete all relevant sections A FEW DETAILS ABOUT BMO InvestorLine Account Number: English French 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 Pro* BMO Staff A new account Updating an existing account Account Number: All sections Only the relevant sections Legal (registered) name of Business or Organization BN/TAN Industry Legal Address (jurisdiction Suite where registered) No. Contact’s position Town at the company Registered Trade Name (if different from above) Postal Code Prov. City or Town Contact’s Last First Title Name Name Send Mail to Suite City or Legal Address No. Town Prov. Postal Business Phone Date of Incorporation/Registration (Not required Code (area code, no. ext.) (for Estate or Trust) YY/MM/DD Place of Incorporation/Registration (Not Required for Estate or Trust) City Prov. CLASSIFICATION of business or organization (check the appropriate box) 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, Regulator Name: 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. ®Registered trade-marks of Bank of Montreal, used under licence. BMO InvestorLine Inc. is a wholly owned subsidiary of Bank of s If yes, please list all countries: D BUSINESS 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. the business or organization Operations Yes No Please provide your Business or Trust Account Number (if applicable) A C

Transcript of BMO InvestorLine e t a A Est n tio a E c MOR T e AND t a r n ou QUICKER cc … · 2013-05-17 · cc...

FOR

QU

ICKE

R A

ND

MO

RE

B

BM

O I

nv

est

orL

ine

Co

rpo

rate

, Tr

ust

, E

sta

tea

nd

No

n-P

ers

on

al

Acc

ou

nt

Ap

pli

cati

on

eff

icie

nt

serv

ice,

ple

ase

com

ple

te a

ll r

ele

van

t se

ctio

ns

A F

EW D

ETA

ILS

AB

OU

T

BMO InvestorLineAccount Number:

English French

Partnership Corporation Investment Club Estate Sole Proprietorship Trust Other

(all investment accounts Cash Margin with Short Sellingoperate in both U.S. and Canadian dollars): Margin Margin with Options

Pro* BMO Staff

A new account Updating an existing account Account Number:

All sectionsOnly the relevant sections

Legal (registered) name ofBusiness or Organization

BN/TAN Industry

Legal Address (jurisdiction Suitewhere registered) No.

City or Prov. Postal Contact’s positionTown Code at the company

Registered Trade Name (if different from above)

Postal Code Prov.

City orTown

Contact’s Last FirstTitle Name Name

Send Mail to Suite City or Legal Address No. Town

Prov. Postal Business Phone Date of Incorporation/Registration (Not required Code (area code, no. ext.) (for Estate or Trust) YY/MM/DD

Place of Incorporation/Registration (Not Required for Estate or Trust) City Prov.

CLA

SSIF

ICAT

ION

of b

usin

ess

or o

rgan

izat

ion

(che

ck t

he a

ppro

pria

te b

ox)

The business or organization (or affiliate) is:A publicly traded company, or a publicly traded trustSecurity Symbol: Exchange:A Bank, Caisse Populaire, Credit Union, Insurance company, Investment Manager, Trustor Loan company, Mutual Fund,

Regulator Name: An Estate or a Testamentary Trust established under an EstateA Government-owned corporation or organization, Church or UnionA Trust, or is not one of the entities listed above.

®Registered trade-marks of Bank of Montreal, used under licence. BMO InvestorLine Inc. is a wholly owned subsidiary of Bank of

s

If yes, please list all countries:

D

BU

SIN

ESS

Business Operations include, but are not limited to: any physical presence in a foreign country as evidence by having aproduct or service facility, an office, a storefront, a sales force, etc.; an account or conduct of business with a foreignfinancial institution; dealings with a foreign government body or official.

the

busi

ness

or

orga

niza

tion

Ope

rati

ons

Yes No

Please provide your Business or Trust Account Number (if applicable)

A

C

FIN

AN

CIA

L

info

rmat

ion

of t

he b

usin

ess

or o

rgan

izat

ion

������������������������������������ � ��������������������business ����������������������������������������F

 ������­����������������������

����������� ������� �(Cash & Securities less loansoutstanding against securities)��������� ���������(Fixed assets less liabilities�������������������������������������������������������(C = A + B) $

Source of Funds

BMO Transit BMO AccountNumber Number

BMO Bank Address

Address Continued

Intended use of the AccountIntended use of the Account

Source of Funds

�����������������������������������������������������������������������

Yes No BMO Harris Platinum Bank Transit & Account number same as aboveTransit AccountNumber: Number:

Act

ivit

y

WIT

H

your

sec

urit

yin

min

d

��������������������������������������������������¡������������¢����������£¤����������������������������������������������������������������������������you will be asked to change this temporary password.

Password foryour Account

BU

SIN

ESS

�����������������������������������������������������������������������������������������������������

Operate a �����������������������

Operate a ����������������������������������������

Operate, lease or maintain a ����������������������������

Buy or sell or deal in ���������������������������������������ª��������������������������������«

Operate a �������������������������������������������ª����������������������������«

Sell �����������������������������«

Operate as an  ����������������������������������������«�

Create or trade in��������������������ª���������������������������������¬����������������«

Operate a ������������������������������������������ª����������¢���¬�����¬�����������������������������«

Operate a �������������������«

Operate an account for a ������������������«Name of country:

Operate an account for any of the following formed outside of Canada or U.S.: ��������������������������������������������������������������«Name of country:

Operate a ������������������«

Operate a ����������«�

E

��������������������� ��������������������������������������

What is your Primary Business Activity of the business or organization listed above?

e

¯̄¯̄̄

+¯̄¯̄ ¯̄¯̄ ¯̄ ¯̄¯̄¯̄ ¯̄ ¯̄ * - ¯̄ ¯̄ ¯̄̄¯̄* ¯̄ ¯̄¯̄̄ ¯̄̄ ¯̄) ¯̄ ¯̄ ¯̄' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' '

IIf yes, please provide your account number: ______________________

Yes NoYes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

Operate as a:Registered CharityNot for Profit Organization

If yes, do you have an existing account with the BMO Financial Group?

Please provide your CRA Charity Registration Number _________________Does your organization solicit financial donations from the public? Yes No

G

TELL

US

AB

OU

T

the

auth

oriz

ed t

radi

ng o

ffice

r

HAuthorized Trading Officer

��������������������������������������� ���������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������� ��������������� ��Please contact BMO InvestorLine or visit our web site for additional forms.

Last FirstTitle Name Name

Preferred Language: Citizenship Country of English French Residence

��� ������������������ Pro* BMO Staff

��������������� ����� ������������������������ ¦��������������§����������������¨©ª������������������������ Sole Owner directly or indirectly in the account)

Home Address Suite(number, street) No.

Mailing Address Suiteif different from above No.

Marital No. of Date of Birth Occupation Status Dependants (YY/MM/DD)

City or PostalTown Prov. Code

Primary Phone Secondary Phone (area code, no.) (area code, no., ext.)

Industry Job Description

Employer’s Employer’s Phone Address Number

Postal Code

Prov. City or Town

Secondary Phone (area code, no., ext.)

Fax Other Daytime Email No. Phone

Suite No.

City or PostalTown Prov. Code

Postal Code

Prov. City or Town

No. of Dependants

Date of Birth (YY/MM/DD)

SIN Employer Name

FIN

AN

CIA

L

info

rmat

ion

��������������������personal ������ �� ��� �������� ����������������

FOR

OPT

ION

S

acco

unt

appl

icat

ions

¨��·��¸������ ����������������������¹º��»��������� ��������¸�� �������������������¼�������½¹���������¾������� ������������¿��������¸������������������À����������������������·���3. Experience with: None Long Calls or Puts Covered Naked Spreads4. Please indicate what type of options trading you would like to do: Long Calls or Puts Covered Spreads

BMO Transit BMO AccountNumber Number

BMO Bank Address

Address Continued

J

����������������������������������������� ��������������� ������� �������� �������������������������� ��������� ������� ������ ������������������������� � ���������� ��� ������ ��� ������������ �������� ��� ����� ������������������������ ���������������������������������������� � ���������������������� �� ��������� ����� �� �������������������

������������������ �� � � � � � ���������������������������������������Date������������ ������ � � � � � ���������������������������������������YY/MM/DD

PROT

ECTI

ON

of y

our

priv

acy 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

��������������������������������¸�������������������������Ä�����������¹�������� � ������������������������������������� �������������������protect us both from fraud and error, comply with legal and regulatory requirements, and market products and services to you.

K

I

PLE

ASE

PR

OV

IDE

DET

AIL

S

if y

ou a

nsw

er Y

ES t

o th

e fo

llow

ing

ques

tion

s

L����������������������������������� ���������������������������������������� ����� ������������������������ ������������������������������������� ����������������������� Yes Company Name(s): No

���������������������������������� ������������������������������������������������������������������������ Yes Company Name: No

���������� ������������������� ������������������������������������ ��� ����������������������� Yes Financial Institution(s): No Account Type: Account Type:

¡��������� ������������������� �������������������������� �¢£��¤�������¥������������¦��� ������§�¨� � � � �������������������§�¨ No

5. Will this account only be used by you and only for your personal transactions (Excluding: Joint account holders, Trading Agent, Power of ���������������¹������º¥�����������»����������������������� Yes No If no, please complete the Third Party Information form. Please contact BMO InvestorLine for this form

Last First Int.Title Name Name

NO

W T

ELL

US

abou

t yo

ur s

pous

eor

com

mon

-law

par

tner

M������������������������������������������������� �����������������������������������������

Industry Job Description

Occupation Employer Name

First Name

Int.

Employer’s Employer’s PhoneAddress Number

N

ACC

OU

NTL

INK

serv

ice

��������������������������������������������������������¢���������������������������������������������������������������������������������¥���® service.� This service allows you to combineyour investment and banking activities all in one account. A starter cheque kit will be mailed to you once the account is opened. If you donot 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:

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. 2FirstBank Card® or BMO Bank of Montreal MasterCard. 3If connected as an Other ����������������������������¢£��¢�������£��������¤����������� ������¤���� ���� �������� ������������������������������������ ���� �Ë�

Card # and connect the account as: Primary �������� Primary ������� �����3

I WANT to receive ALL securityholder materials sent to ������������������������������I DECLINE to receive ALL securityholder materials sent to ������������������������������¹�������¤������������������these types of materials, I understand that a reporting issuer or other person or company is entitled to send these materi-als 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.

SIG

NAT

UR

ES

O���������������������� ����������������������������������������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 Ρ���������������������� �¢�����������������Ï��������������Reporting Issuer, in Section Three, Part C of the Client Agreement.������������������������������������������������������You may disclose my name, address, email, 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.

Yes No���� ���������������ÐÑ�Ò�����������������������������������������-sociated with providing shareholder materials to you.������������������������������������������Please mark the corresponding box to show what materials you ����������������Ï������ ���������������������������������������of securities consist of the following materials: a) proxy-related materials for annual and special meetings; b) annual reports and ������������������� ������������������������������������������Ô�and c) materials sent to securityholders that are not required by corporate or securities law to be sent.

Will this account only be used by the authorized signatories (i.e. Authorized Trading O�cer, Executor/Liquidator, Guarantor and Trustee) to provide instructions to deal with this account exclusively for the purpose of your own business transactions?

CON

TIN

UED

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 email 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.

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 orremove 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.

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 obliga-tions of our industry.

Authorized Trading

DateYY/MM/DD

Authorized Trading

DateYY/MM/DD

Authorized Trading

DateYY/MM/DD

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 Agree-ment for further details.

Authorized Trading

DateYY/MM/DD

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.

By signing below, I acknowledge that from time to time, BMO Inves-torLine may send me information, including direct marketing mes-sages, 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 contact-ing BMO InvestorLine. The servicing of my account as per this agreement is in no way conditional or dependent on my prefer-ences. 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 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 nonregis-tered accounts are held by BMO Bank of Montreal, and client cash balances in registered accounts are held by BMO Trust Company.

OFF

ICE

USE

ON

LY

Account Number (CDN): AccountLink Number (U.S.):

Approved by Date Cash Margin Short

Purchases Covered Spreads NoneComments:

one of which is a valid photo ID. (include area (please print) code no., ext.)

FSM Name FSM Transit(please print) EIN # Number

NBIA: Harris Private IFS: Bank:

May 17, 2013