Welcome to BMO InvestorLine
BMO INVESTORLINE Corporate, Trust, Estate and Non-Personal Account Application
A
B
C
FOR QUICKER AND MORE EFFICIENT SERVICE, please complete all relevant sections
A FEW DETAILS about the entity
BENEFICIAL OWNERSHIP of business or organization (check the appropriate box)
If you are applying for:
Preferred Language:
Application Type:
Account Type Request: Account
Characteristic(s):
*You are considered to be a Pro if you, or someone you live with, is employed with an CIRO member firm or related company. Please provide a letter of confirmation from the
member firm’s Compliance department authorizing you to be the Authorized Trading Officer for this account.
Legal (registered) name of
Business or Organization
Registered Trade Name
(if different from above)
Industry
Legal Address (jurisdiction
where registered)
City or
Town
Postal
Code
Contact’s position
at the company
Suite
No.
Prov.
Contact’s
Title
Prov.
Business Phone
(area code, no. ext.)
Postal
Code
Date of Incorporation/Registration
(Not required for Estate or Trust)
Prov.
Send Mail to
Place of Incorporation/Registration
(Not Required for Estate or Trust)
Residency for Tax purposes (Check all that apply)
Please include a photocopy of the Corporate Profile for your business or organization.
Beneficial Ownership information IS NOT being provided for this entity (or affiliate) because it is:
Beneficial Ownership information is being provided for this entity (or affiliate) because it is:
Reasons for missing Tax Identification Number (TIN):
City
Last
Name
First
Name
Please complete:
All sections
Only the relevant sections
A new account
Updating an existing account
English
Partnership
Cash
Pro* BMO Staff
Margin (All investment accounts operate in both U.S. and Canadian Dollars.)
French
Corporation Investment Club Estate Trust Charitable Organization Not for Profit Org.
For account updates, a partially completed form will indicate there are no other material changes to the entity or the entity’s investment profile.
Account Number:
Legal Address
A publicly traded company, or a publicly traded trust
A Bank, Caisse Populaire, Credit Union, Insurance company, Investment Manager, Trustor Loan company, Mutual Fund, Mutual Fund Management company, Pension Fund,
Securities Dealer or Broker, or similar financial entity subject to a satisfactory regime.
An Estate
A Government-owned corporation, such as a Canadian government body (provincial, federal department or crown agency, incorporated municipal body) or a Canadian Public
Hospital, or a subsidiary thereof where the financial statements are consolidated.
A not-for-profit organization, church or union
The client is a Trust and the information is being provided in respect to the Settlor or Creator of the Trust AND any beneficiaries (regardless of their % of interest in the trust).
An entity other than those listed above.
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0005-AD-E (04/24)
“BMO (M-bar Roundel symbol)” is a registered trademark of Bank of Montreal, used under licence.
BMO InvestorLine Inc. is a wholly owned subsidiary of Bank of Montreal.
adviceDirect is a product of BMO InvestorLine Inc. adviceDirect does not provide portfolio management by a portfolio manager. The client makes their own investment decisions and manages their own investment
portfolio. adviceDirect does not offer discretionary, managed accounts.
Member – Canadian Investor Protection Fund and Member of the Canadian Investment Regulatory Organization.
Please indicate the number of individuals who are a settlor, creator or beneficiary of the trust:
Please indicate the number of individuals who own, or exercise direct or indirect control over, 25% or more interest of the entity:
Please complete a “Beneficial Information” form for each individual identified above and proof of identity verification (where applicable).
Please complete a “Beneficial Information” form for each individual identified above and proof of identity verification (where applicable).
Security Symbol:
Regulator Name:
Exchange:
Canada
U.S.
1. I have applied for a TIN but have not yet received one.
Tax Identification Number
Other
(please specify)
2. My jurisdiction of tax residence does not issue TINs to its residents.
Tax Identification Number
Other
(please specify)
3. Other (please provide details)
Tax Identification Number
(please provide a reason if Tax Identification Number is missing)
(please provide a reason if Tax Identification Number is missing)
(please provide a reason if Tax Identification Number is missing)
(You must be a resident of Canada to open
a BMO InvestorLine account)
Business/Trust/CRA Registration Number
Quebec NEQ
Number
(YY/MM/DD)
Suite
No.
City or
Town
adviceDirect
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D
E
ENTITY operations
ENTITY activity
Does the entity (including parent company or subsidiaries, have, or intend to have, operations, or conduct business, outside of Canada or the U.S.?
What is your Primary Business Activity of the business or organization listed above?
Does the business or organization listed above (or affiliate) conduct any of the following activities?
Operate as a:
Registered Charity
Not for Profit Organization
The Primary Business Activities – Please list and provide a brief description:
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.
If yes, please list all countries:
Yes
Yes
No
No
Operate a Money Service Business?
Yes No
If yes, do you have an existing account with the BMO Financial Group?
Yes No
If yes, please provide your account number:
Operate a Cheque Cashing/Payday Lending/Short Term Lenders Business?
Yes No
Operate, lease or maintain a White Label Banking Machine?
Yes No
Buy or sell or deal in Precious Metals and Stones (Cutters/Polishers/Refiners/Smelters/Intermediate Dealers & Brokers/Retailers)?
Yes No
Operate as a Gambling service provider (Casinos/Sports Betting Operators/Animal Sporting Facilities/Bingo Halls, and establishments
with Video Lottery Terminals)- including internet gambling?
Yes No
Please provide your CRA Charity Registration Number
Does our organization solicit financial donations from the public?
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Sell used cars, boats or airplanes?
Yes No
Operate as an Arms Manufacturer, Dealer or Intermediary?
Yes No
Operate as an exchange/exchanger of Virtual Currency (Users, Network Facilitators, Exchangers, Administrators, Custodians)?
Yes No
Operate as a Cannabis License Holder/Applicant or Parent Company/Holding Company/Subsidiary of any license holder/applicant?
Yes No
Operate a Telemarketing / Direct Marketing business (sell goods/services via telephone or the Internet)?
Yes No
Operate a Pawn broker service?
Yes No
Operate an account for a Foreign Government (e.g. Embassy or Consulate)?
Yes No
Name of country:
Trust, Private Investment Company, or Personal Holding Company?
Yes No
Operate a Correspondent Bank?
Operate Alternate Money Remittance Systems/Informal Value of Transfer Systems (e.g., Hawala, Hundi, Chitti, Fei Ch’ien, Poey Kuan)?
Yes
Yes
No
No
Operate an account for any of the following formed outside of Canada or U.S.:
Name of country:
Operate as Dealer and Intermediaries of High Value Goods (Art/Antiquities/Vintage Alcohol) &/or Auction Houses?
Operate as an Accounting Firm, Law Firm or British Columbia Notary?
Operate as an unregulated Lender or Businesses involved in Leasing and Financing?
Yes
Yes
Yes
No
No
No
Operate in Adult Entertainment Industry?
Operate as a Non-Bank Financial Institution?
Operate as a Ransomware Service Provider?
Yes
Yes
Yes
No
No
No
Operate as Third Party Payment Processors?
Operate as a Mortgage Broker, Real Estate Developer/Agency/Brokerage?
Yes
Yes
No
No
Operate a Shell Bank?
Operate as a Crowdfunding Service Provider?
Yes
Yes
No
No
Do you have the intention to issue or have you previously issued physical Bearer Shares certificates?
Operate as a Financial Institution (e.g. A Bank, Central Bank, Credit Union, Insurance or Trust Company, Hedge or Private Equity Fund,
Securities Broker Dealer, Mutual Funds or Pension Funds)?
Yes
Yes
No
No
F
ENTITY Status Self Certification
1. Is the entity a specified U.S. Entity (organized or incorporated in the U.S.)?
2. Is the entity a Financial Institution (FI)?
A. Select the option that best describes the financial Institution (FI):
B. Does the financial institution (FI) meet all of the following criteria?
1. It is a resident of a non-participating jurisdiction (for a list of participating jurisdiction visit www.cra.gc.ca)
2. At least 50% of its gross income is from investing or trading in financial assets.
3. It is managed another financial institution.
Please note: For more information on the Canada Revenue Agency (CRA) Enhanced Financial Account
Information Reporting, the U.S. Foreign Account Tax Compliance Act (FATCA) and the Common
Reporting Standard (CRS) please refer to the CRA website or consult your legal or tax advisor.
No Yes
No.
No. If no, please select the option that best describes the non-financial entity:
Yes. If yes, please complete both section A and B below.
Yes. If yes, please provide the U.S. Taxpayer Identification Number (TIN)
A corporation with shares that regularly trade on an established securities market.
Reporting Canadian FI or Partner Jurisdiction FI (GIIN):
Participating Foreign FI
Registered Deemed Compliant FI
Non-Reporting Canadian or Partner Jurisdiction FI
Certified Deemed Compliant FI
Non-Participating FI
Global Intermediary Identification Number (GIIN):
Global Intermediary Identification Number (GIIN):
A government, central bank or international organization (or an agency of one).
The entity is an active trade or business (less than 50% of its gross income is passive income and less than 50% or its assets produce passive income) or
another type of active non-financial entity not listed.
Passive not-financial entity (more than 50% of income is passive or investment income, more than 50% of assets are used to generate passive or
investment income)>
Global Intermediary Identification Number
adviceDirect
®
G
FINANCIAL information of the business or organization
Please round to the nearest dollar.
Are you borrowing money for the purpose of investing?
Do you have a Platinum Banking account with BMO Private Banking?
Funding Your
Account
Intended use
of the Account
Annual revenue
from all sources
Net Liquid Assets (A)
(Cash & Securities less loans
outstanding against securities)
Net fixed Assets (B)
(Fixed assets less liabilities
outstanding against fixed assets)
Estimated Net Worth (C)
(C=A+B)
BMO Transit
Number
BMO Bank Address
Address Continued
BMO Account
Number
Please provide your BMO Banking Information (if applicable).
Yes
Yes
BMO Platinum Bank Transit & Account number same as above
Transit
Number
Account
Number
OR
No
No
Business income or revenue
Short Term Investment Long Term Investment Income Generation
Working capital Real estate investments
Investment in securities
Savings Other
Royalties Other
H
WITH your security in mind
Please create a temporary password, which must be 6 letters and/or numbers. When you sign in to your account the first time through our automated systems, you will be asked to
change this temporary password.
Password for
your Account:
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I
TELL US ABOUT the authorized trading officer
If some other person will have authority over, or financial interest in, this account, please complete the following information. This includes Authorized Trading Officers,
partners, executors and trustees. If there is an additional Authorized Trading Officer, please complete the “Additional Authorized Trading Officer” form. There is a
maximum of two Authorized Officers per account. Please contact BMO InvestorLine or visit our website for additional forms.
Preferred Language:
Account Characteristic(s):
You are completing
this form as:
Please enter your name exactly as it appears on your government-issued photo ID.
(No., street, P.O. Box address is not allowed)
English
Pro
Full-time (30 hours or more per week) Part-time (Less than 30 hours per week) Self employed
Casual/Contract
Unemployed
Seasonal
Retired
Authorized Trading Officer
Title
City or
Town
Primary Phone
(area code, no.)
Mailing Address
if different from above
Suite
No.
City or
Town
Occupation
Employer
Name
Employer’s Address
(number, street)
City or
Town
Postal
CodeProv. Industry
Employer’s
Phone Number
Suite
No.
Marital
Status
Employment
Status
Date of Birth
(YY/MM/DD) SIN
Prov
Postal
Code
Email
Secondary Phone
(area code, no.) Ext.
Prov.
Postal
Code
Primary
Residence Address
Suite
No.
Last
Name
First
Name
BMO Staff
French Citizenship Country of Residence
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FINANCIAL information
PROTECTION of your privacy
SIGNATURE for margin accounts only
SIGNATURE for all investment accounts
Please provide your personal BMO Banking Information (if applicable).
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 information for the purpose of,
but not limited to, the requirement to: identify you, provide ongoing service, understand your financial needs, protect us both from fraud and error, comply with legal and
regulatory requirements, and market products and services to you.
I/We hereby apply to be granted a margin facility with respect to the account(s) selected in this application as being a “Margin Account”. I/We certify that: i) I am capable of
evaluating and bearing the financial risks inherent in borrowing on and use of margin to finance the buying of securities; and (ii) l/We understand and agree to the terms and
conditions governing the use of Margin.
By requesting the opening of either a cash investment account, or an account granted margin facility, I/we certify that the information in this application is true and complete and I
have received the Client Agreements (https://www.bmoinvestorline.com/adviceDirect/pdfs/CustomerAgreementBooklet.pdf), Conflicts of Interest Statement (https://
www.bmoinvestorline.com/General_Info/ConflictsOfInterest.pdf), Relationship Disclosure document (https://www.bmoinvestorline.com/adviceDirect/pdfs/
RelationshipDisclosure.pdf), and adviceDirect Fee Schedule & Trade Guide (https://www.bmoinvestorline.com/adviceDirect/pdfs/ADFeeSchedule_E.pdf). In addition to having
reviewed these documents, I agree to the terms and conditions outlined in the Client Agreements, Conflicts of Interest Statement, Relationship Disclosure document and
adviceDirect Fee Schedule & Trade Guide. I/we concur that the AccountLink service is appropriate for my/our needs and financial circumstances. I/we consent to be enrolled in
either the CAD Dollar AccountLink service or the USD Dollar AccountLink service.
Certification: I am an authorized signing officer of this entity and I certify that the tax information given on this form is correct and complete. I will notify BMO InvestorLine Inc.
within 30 days of any change in circumstances that causes the information on this form to become inaccurate or incomplete.
For Quebec Clients Only: The client acknowledges receipt of the French version of this agreement. It is the express wish of the parties, who hereby accept, that this agreement
and all related documents, notices and other communications be in English. Le client reconnaît avoir reçu la présente convention en https://www.bmoinvestorline.com/
adviceDirect/pdfs/NonPersonalAccountApplication_F.pdf. Les parties aux présentes ont expressément exigé, et acceptent, que la présente convention, tous les documents qui y
sont afférents et tous les avis et autres communications entre les parties soient rédigés en langue anglaise.
BMO Transit Number
Authorized Trading Officer’s
Signature
Authorized Trading Officer’s
Signature
Authorized Trading Officer’s
Signature
Date
YY/MM/DD
Date
YY/MM/DD
Date
YY/MM/DD
BMO Bank Address
Address Continued
BMO Account Number
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PLEASE PROVIDE DETAILS if you answer YES to the following questions
1. Are you, or your spouse/common-law partner:
a. An insider, director or senior officer (i.e. an officer or one of the five highest paid employees) of a publicly traded (exchange or over-the-counter) company or affiliate of such a company?
Or
Individually, or as part of a group, own more than 10% of the voting rights attached to all voting securities?
2. Do you have, or exercise authority over, any brokerage accounts with other financial institutions?
3. Do you have, or exercise authority over, any accounts with BMO InvestorLine?
4. Will any other person have authority over, or any financial interest in, your account(s)? If another person will have authority over your account(s), please complete our “Authorized
Trading Agent or Power of Attorney” form
5. Will anyone other than yourself use or direct transactions in this account? This excludes those authorized to give instructions about the account, i.e., Authorized Trading Officer,
Partner, Executor or Trustee.
b. Separately or in combination with other persons, a holder of more than 20% of the outstanding voting securities of a publicly traded (exchange or over-the-counter) company
or affiliate of such a company?
c. Individually, or as part of a group, a member with controlling interest in a publicly traded (exchange or over-the-counter) company or affiliate of such a company?
If yes, are you a Reporting Insider under Canadian securities legislation?
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
No
No
No
No
No
Account Type:
Account #1:
Name:
If yes, please complete the “Third Party Information” form. Please contact BMO InvestorLine for this form.
Account #2:
Account Type:
No
Company Name(s):
Company Name(s):
Company Name(s):
Financial institution(s):
Company Name(s):
O
NOW TELL US about your spouse or common-law partner
Title
Occupation Employer Name
Industry Job Description
Employer’s Address Employer’s Phone Number
Init. Last Name First Name
Please omit this section if your spouse or common-law partner is an Authorized Trading Officer
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YOUR INVESTMENT KNOWLEDGE
Which of the following best describes your current knowledge of investing?
Why we’re asking: The more experience you have with different types of investments and the more familiar you are with their risk/return trade-offs, the better understanding
you’ll have to navigate volatile markets.
Your investment experience
What types of investments have you had experience with in the past? (check all that apply)
When would you be withdrawing a large amount of money from this account?
Why we’re asking: The longer you keep your money invested the more flexibility you’ll have when building your portfolio and managing risks.
Will you be using this account as a source of annual income or plan to use the balance often to cover your expenses or other financial obligations?
Why we’re asking: The more you rely on an annual income or ongoing withdrawal amounts, the more carefully you should consider the level of risk to take on.
None - I have no experience with investments and investment strategies.
Limited - I have some experience with investments and investment strategies. I’ve invested in GICs, fixed income and equity mutual funds, but no investments in individual
bonds and stocks.
Good - I have moderate experience with investments and investment strategies. I’ve invested in a variety of securities, including individual bonds and stocks, and I’ve got a
good understanding of their risk/return trade-offs.
Excellent - I have a thorough understanding of complex types of investments, their risk/return trade-offs and trading strategies related to these securities (including bonds,
stocks and options).
Less than 1 yr. - I want to withdraw money very soon.
1 to less than 3yrs. - I want to set aside money for a short amount of time and won’t need this money for at least a year.
3 to less than 5 yrs. - I want to grow my money for a few years and won’t need it for some time.
5 to less than 10 yrs. - I want to grow my money for a moderate amount of time and won’t need to withdraw it for several years.
10 yrs. and more - I want to grow my money for the long run and won’t need to withdraw it.
No - I won’t be relying on an annual income from this account and/or I will rarely withdraw money from it.
Yes - I’ll be using this account as a source of my annual income and/or will withdraw money regularly to cover expenses or other financial obligations.
Bonds/GICs
Short Sales Commodities
Mutal Funds
Options None
Stocks
Alternative investments (please specify below)
Q
YOUR INVESTOR PROFILE
Choose the profile that you believe suits you best:
1. Income
This profile is suited to the security-conscious investor with some preference for capital preservation and limited growth. The typical Income investor is someone who depends on
their investments for income. Emphasis is placed primarily on more secure asset types like cash, cash equivalents and fixed income investments, with only a limited exposure to
higher yield equities. The Income investor may require cash from their investment account. They are uncomfortable with any significant fluctuation in their portfolio from year to
year and are content with their portfolio keeping pace with inflation. The target asset allocation for this profile is 26% Equity and 74% Fixed income. This investor’s risk tolerance
varies from low to medium and they are willing to accept up to 10% of their account in riskier assets.
2. Balanced
This profile is suited to the moderate investor seeking both income and long-term growth. The Balanced investor is seeking to balance risk and return. Emphasis is placed on
achieving these objectives through a mix of fixed income and growth oriented investments. This investor may occasionally require cash from their investment account. They
would like their portfolio to grow slightly faster than inflation and understand that the value of their portfolio may fluctuate and are comfortable with that. The target asset
allocation for this profile is 53% Equity and 47% Fixed income. The Balanced investor’s risk tolerance is best described as medium and they are willing to accept up to 20% of
their account in riskier assets.
3. Growth
This profile is suited to the patient investor. The Growth investor is seeking investments expected to grow at an above-average rate compared to its industry or the overall market.
Emphasis is placed primarily on equity investments designed to achieve growth over a longer time horizon. Less emphasis is placed on cash, cash equivalents and fixed income
investments. Growth investors rarely require cash from their investment account. They would like their portfolio to grow faster than inflation and understand that the value of
their portfolio may fluctuate somewhat and are comfortable with that. The target asset allocation for this profile is 80% Equity and 20% Fixed income. The Growth investor’s risk
tolerance is best described as medium to high and they are willing to accept up to 30% of their account in riskier assets.
4. Aggressive Growth
This profile is suited to the assertive investor. The Aggressive investor is attempting to achieve maximum returns by seeking investments that will grow at an above-average rate
compared to its industry or the overall market and is willing to take on additional risk. Emphasis is placed primarily on investing in higher risk equity investments to allow for the
potential of higher long-term growth. They do not require cash from their investment account. These investors would like to have their portfolio grow much faster than inflation
and understand that the value of their portfolio may fluctuate significantly and are comfortable with that. The target asset allocation for this profile is 100% Equity and 0% Fixed
income. The Aggressive investor’s risk tolerance is best described as high and they are willing to accept up to 100% of their account in riskier securities.
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YOUR INVESTMENT KNOWLEDGE (continued)
What percentage of your total savings/investible assets will this investment account represent?
Why we’re asking: The more of your total savings/investable assets you invest in your new adviceDirect account, the more carefully you should consider the level of risk to take on.
What would your initial reaction be if you lost 20% of your account equal to $20,000 of a $100,000 portfolio?
Why we’re asking: We want to know your level of comfort both financially and emotionally when it comes to losses when the market fluctuates.
How would you describe your ideal investment portfolio and return objective? Your portfolio and return objective should match what you selected as your
willingness to accept risk and losses.
Why we’re asking: Because risk and return are usually tied together, the more risk you’re willing to take on generally means more opportunity for returns.
0 - 25% - I have plenty of investments at other institutions and my adviceDirect account will hold a small percentage of my total savings/investable assets.
25 - 50% - I have a few investment accounts at other institutions and my adviceDirect account will hold a moderate percentage of my total savings/investable assets.
50 - 75% - I have a couple of investment accounts at other institutions and my adviceDirect account will hold a fairly large percentage of my total savings/investable assets.
75 - 100% - I have very little invested at other institutions and my adviceDirect account will hold all or nearly all my total savings/investable assets.
That’s a significant loss - I can’t believe I lost 20% of my account. That’s a large amount and hard for me to accept it.
I’m a little concerned - I’m not too worried right now, but it does worry me a bit that my account dropped so much.
That’s fine - I’m in this for the long haul. As long as my account has the potential to grow over the long term, I’m not too concerned about some fluctuations in the market
that may affect my account.
That’s great, let’s buy more - This doesn’t impact or concern me. I see it as an opportunity to invest and buy more.
Emphasis on lower risk - I prefer an investment portfolio with a greater emphasis on lowering risk and limiting losses in the short-term, and in exchange, I am willing to
sacrifice return potential.
A balance between return and risk - I prefer an investment portfolio that balances limiting short-term risk and losses with the potential for longer-term returns.
More emphasis on returns - I prefer an investment portfolio with more emphasis on the potential for longer-term returns as opposed to limiting short-term risk and losses.
Mainly focused on returns - I prefer an investment portfolio that primarily focuses on the potential for longer-term returns, with little importance placed on limiting short-
term risk and losses.
R
ACCOUNTLINK service
This service cannot be used as a commercial bank account.
BMO InvestorLine provides you with either a CAD or U.S. Dollar AccountLink Service AccountLink
®
service
1
, which gives you the ability to use a BMO debit card to easily access the
cash available in your BMO InvestorLine account. This service allows you to combine your investment and banking activities all in one account. 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:
I also wish to have the U.S. Dollar AccountLink service to be able to bank in U.S. funds.
1
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 account, access is restricted to BMO
Bank of Montreal Instabank machines. If Other, choose alpha reference or designate a number 1 through 9.
and connect the account as:
Card #
Primary Chequing Primary Savings Other
3
S
SIGNATURES FOR ALL ACCOUNTS
NATIONAL INSTRUMENT 54-101 – SHAREHOLDER COMMUNICATION
INFORMATION
We are required under Canadian securities laws to obtain your instructions concerning
the various matters below relating to your holding of securities in your account. Please
read the National Instrument 54-101, Communication with Beneficial Owners of
Securities of a Reporting Issuer, in Section Four, Part C of the Client Agreements.
Part 1 – Disclosure of Beneficial Ownership Information
For purposes of Canadian securities laws, 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 Canadian securities law.
Yes No
Note: if you answer “No”, you will be responsible for any costs associated with
providing shareholder materials to you.
Part 2 – Receiving Securityholder Materials
For the purposes of Canadian securities laws, please mark the corresponding box to
show what materials you want to receive. Securityholder materials sent to beneficial
owners of securities consist of the following materials: a) proxy-related materials for
annual and special meetings; b) annual reports and financial statements that are not
part of proxy-related materials; 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 beneficial owners of securities.
I DECLINE to receive ALL securityholder materials sent to beneficial owners of
securities. (Even if I decline to receive 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.
Important Note: These instructions do not apply to any specific request you
give or may have given to a reporting issuer concerning the sending of interim
financial statements of the reporting issuer. In addition, in some circumstances,
the instructions you give in this application form will not apply to annual reports
or financial statements of an investments fund that are not part of proxy-related
materials. An investment fund is entitled to obtain specific instructions from you on
whether you wish to receive its annual report or financial statements.
Part 3 – Preferred Language of Communication
I understand that the materials I receive will be in my preferred language of
communication if the materials are available in that language.
Part 4 – Consent to Electronic Delivery
Canadian 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.
On behalf of the beneficial owner(s) of the account(s) opened from this application, I
have read and understand the explanation that you have provided me in connection
with the National Instrument 54-101, Communication with Beneficial Owners of
Securities of a Reporting Issuer. The choices I have indicated above apply to all of the
securities held in the account(s).
A monthly $2.00 fee per account, plus applicable taxes, will apply for mail delivery
of paper statements.
Authorized Trading
Officer’s Signature
Date
YY/MM/DD
PRIVACY DISCLOSURE AND CONSENT YOUR PERSONAL
INFORMATION
To learn more about how we collect, use, disclose and safeguard your Personal
Information, your choices, and the rights you have, please see our Privacy Code
(available at bmo.com/privacy, or from any of our branches).
What is Personal Information?
Your Personal Information is information about you that you provided to us or
information we collected from other sources such as credit reporting agencies,
and includes your name, address, age, financial data, Social Insurance Number,
employment information, and other information that could be used to identify you
Why do we need your Personal Information?
We collect and use your Personal Information to:
• Verify your identity;
• Ensure we have accurate information about you;
• Understand your financial needs (including your eligibility for products and
services you requested or accepted or were pre-approved for)
• To manage our relationship;
• Protect against fraud and manage other risks;
• Communicate with you regarding products and services that may be of interest;
• Understand our customers, including through analytics, and to develop and tailor
our products and services;
• Comply with legal or regulatory requirements, or as permitted by law; and
• Respond to questions you may have.
We will also use your Personal Information to make decisions in real time by using
tools to automate the processing of your Personal Information, for example, whether
to approve or decline a trade. These decisions can affect the products, prices, services
or features we may offer you and are also used to protect you from fraud.
If we use your Personal Information for a different purpose, we will identify that
purpose.
Sharing your Personal Information
BMO Financial Group consists of Bank of Montreal and its affiliates. Your Personal
Information, including information about your authorized representatives and
beneficiaries, is shared within BMO Financial Group, to the extent permitted by law, to:
• Ensure we have accurate information about you, and your authorized
representatives and beneficiaries;
• Manage our total relationship;
• Provide a better customer experience;
• Meet your needs as they change and grow; and
• Manage our business.
Your Choices
With your optional consent, BMO InvestorLine will also share account-specific
information within BMO Financial Group for the purposes described above.
This choice only applies to BMO InvestorLine and will apply to all of your BMO
InvestorLine accounts unless you later opt out. You can opt out of sharing account-
specific information by other BMO Financial Group entities. See our Privacy Code for
a list of BMO Financial Group entities and for more information on how to opt-out.
Please check one option:
I consent I DO NOT consent
to BMO InvestorLine sharing information in relation to my account(s) within BMO
Financial Group. I understand that I cannot opt out of sharing Personal Information
between two or more BMO Financial Group affiliates that provide me with a jointly
offered product or service.
BMO Financial Group direct marketing preferences
Direct Marketing is our communication with you such as mail, telemarketing or email
using the contact information you have provided, to inform you about products and
services that we think may be of interest and value to you. Your consent is not
required for us to communicate with you regarding products or services that you
currently have, including improved ways to use the products, or additional features
of the products as well as transactional information.
Please check one option:
I consent I DO NOT consent
to receive direct marketing materials from BMO InvestorLine or other members of
BMO Financial Group.
I acknowledge that BMO lnvestorLine may pay to, or receive from, certain other
members of BMO Financial Group a referral fee and that a schedule of these fees and
related terms is available upon request and is also included in the Client Agreement.
If you consent to sharing of information, we (or if BMO InvestorLine is not the
Referring Entity) may disclose information about you to the Receiving Entity in
order to make the referral and allow for the ongoing administration of the referral.
The word “information” means financial and financially-related information about
you, including information to identify you for products and services or information
needed for regulatory requirements.
Authorized Trading
Officer’s Signature
Date
YY/MM/DD
CARRYING BROKER INFORMATION
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 settlement,
custody of securities and the preparation of confirmations and account statements.
Client cash balances in non-registered accounts are held by BMO Bank of Montreal,
and client cash balances in registered accounts are held by BMO Trust Company.
BMO SELF CERTIFICATION – W8 TREATY
I certify that:
A. The Entity, a resident of Canada, meets all provisions of the Canada-U.S. Tax
Convention that are necessary to claim a reduced rate of withholding, including any
limitation on benefits provisions, and derives the income within the meaning of
section 894 of the Internal Revenue Service Income Tax Code, and the regulations
thereunder, as the beneficial owner.
Either B or C will apply to you. Please select one or the other:
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SIGNATURES FOR ALL ACCOUNTS (continued)
OFFICE USE ONLY
B. The “Entity” meets the requirements of the limitation on benefits provisions in
the Canada-U.S. Tax Convention on the basis that one of the following categories
applies (please check only one box below, not applicable to Investment Clubs and
Partnerships):
Company or trust (including small private companies and holding companies)
that meet the ownership and base erosion test
Estate resident in Canada
Government
Tax exempt pension trust or pension fund
Other tax exempt organization
Publicly traded corporation
Subsidiary of a publicly traded corporation
Company that meets the derivative benefits test
Company with an item of income that meets active trade or business test
Favorable discretionary determination by the U.S. competent authority received
No LOB article in treaty
Other (please specify Article and paragraph):
C. The beneficial owner is claiming treaty benefits for U.S. source dividends received
from a foreign corporation or interest from a U.S. trade or business of a foreign
corporation and meets qualified resident status.
Special rates and conditions:
The beneficial owner is claiming the provisions of Article and paragraph of
the treaty identified in item A above to claim a % rate of withholding on (specify
type of income):
Explain the additional conditions in the Article the beneficial owner meets to be eligible
for the rate of withholding:
Certification
Under penalties of perjury, I declare that I have examined the information on this form
and to the best of my knowledge and belief it is true, correct, and complete.
I further certify under penalties of perjury that:
• The entity identified on this form is the beneficial owner of all the income or proceeds
to which this form relates, is using this form to certify its status for chapter 4
purposes, or is submitting this form for purposes of section 6050W or 6050Y;
• The entity identified on this form is not a U.S. person;
• This form relates to: (a) income not effectively connected with the conduct of a trade
or business in the United States, (b) income effectively connected with the conduct of
a trade or business in the United States but is not subject to tax under an income tax
treaty, (c) the partner’s share of a partnership’s effectively connected taxable income,
or (d) the partner’s amount realized from the transfer of a partnership interest subject
to withholding under section 1446(f); and
• For broker transactions or barter exchanges, the beneficial owner is an exempt
foreign person as defined in the instructions.
Furthermore, I authorize this form to be provided to any withholding agent that has
control, receipt, or custody of the income of which the entity identified in this form is the
beneficial owner or any withholding agent that can disburse or make payments of the
income of which the entity identified in this form is the beneficial owner.
I agree that I will submit a new form within 30 days if any certification on this form
is incorrect.
I certify that I have the capacity to sign for the entity identified under section B of
this form.
Authorized Trading
Officer’s Signature
Date
YY/MM/DD
SHARED PREMISES DISCLOSURE
I/we acknowledge that, for my/our securities transactions, I/we am/will be dealing
with BMO InvestorLine Inc., a Member of the Canadian Investment Regulatory
Organization (CIRO) and Member of the Canadian Investor Protection Fund (CIPF).
BMO InvestorLine Inc. may share office space with the following separate but affiliated
entities:
• Bank of Montreal offering banking and financial services.
• BMO Investments Inc., a subsidiary of Bank of Montreal Holding Inc., offering
mutual fund products by registered mutual fund representatives, and in Quebec, by
registered financial planners.
• BMO Nesbitt Burns Inc., a wholly owned subsidiary of BMO Bank of Montreal
offering full service advisory services.
• Nesbitt Burns Securities Limited, a wholly owned subsidiary of BMO Nesbitt
Burns Inc., offering services to US residents as a US registered Broker-Dealer and
Investment Adviser.
• BMO Estate Insurance Advisory Services Inc., a wholly owned subsidiary of BMO
Nesbitt Burns offering insurance products by licensed life insurance agents, and in
Quebec, by financial security advisors.
• BMO Private Investment Counsel Inc., a wholly owned subsidiary of BMO Nesbitt
Burns Inc., offering trading and advising in securities and derivatives by registered
individuals.
• BMO Trust Company, a wholly owned subsidiary of Bank of Montreal, offering
estate, trust, planning and custodial services.
I/we acknowledge that I/we have read and understood the disclosure, and that
I/we understand that these are shared premises.
Authorized Trading
Officer’s Signature
Date
YY/MM/DD
PERSONAL AND CREDIT INFORMATION AUTHORIZATION
I/We authorize BMO InvestorLine to obtain personal and credit information from a credit
reporting company and within BMO Financial Group to verify my identity and prevent
theft or fraud.
Authorized Trading
Officer’s Signature
Date
YY/MM/DD
Please provide a verified photocopy of 1 piece of Federal, Provincial or Territorial
government issued photo ID.
BRANCH INFORMATION
I have verified all and a photocopy of a valid photo ID.
BRANCH REFERRAL
FSM Name
(please print)
NBIA:
IFS:
Bank:
Harris Private
FSM
EIN #
Transit
Number
Name of Branch Representative (please print)
Phone
(include area
code no., ext.)
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