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Thank you for your interest in opening an account with ScotiaMcLeod.  As we offer the best investment account options available in Canada, our forms are a bit more detailed than you might find at other firms with fewer investment choices.  Your co-operation in completing the information, will help us provide you better advice.  Please let us help you if you have any questions about setting up your account.

Account Type	Print off and complete:
Group RRSP	Account Application - Review the appropriate pages of the 'What You Should Know Instructions' and if you have questions about filling out these forms, see the 'Application Form Instructions'. Group Registered Plan Application - Print off and complete this form to have your account registered as a RSP with the Canada Revenue Agency (CRA). Before signing, please familiarize yourself with the 'Declaration of Trust and Addendum'. Investment Instructions for Payroll Plans (CA62) or Pre-authorized Contribution (PAC) Form for Non-Payroll Plans (CA16) - Print off and complete the appropriate form to set up regular contributions and to instruct us how to invest them. If you are not choosing an investment at present, please indicate "Cash 100%" on the form.
Spousal RRSP	To set up a spousal RRSP, use the same forms as above but make sure to put your spouse's name as the annuitant or account holder and your name as the spousal contributor.
Group Non-Registered	Account Application - Review the appropriate pages of the 'What You Should Know Instructions' and if you have questions about filling out these forms, see the 'Application Form Instructions'. Investment Instruction Form for non-RRSP Payroll Plans (CA54) - Print off and complete this form to advise us how to invest your payroll contributions to your non-RRSP account. If you are not choosing an investment at present, please indicate "Cash 100%" on the form. Also, see identity requirements, below.
DPSP	DPSP Account Application for Deferred Profit Sharing Plans.
RESP	RESP Application forms for education savings plans.
Individual Non-Registered	Account Application for margin, cash, trust and investment - Review the appropriate pages of the 'What You Should Know Instructions' and if you have questions about filling out these forms, see the 'Application Form Instructions'. Also, see identity requirements, below.
Review the appropriate pages of the What You Should Know Instructions and if you have questions about filling out these forms see the - Application Form Instructions (.pdf 186k).

Please note that for company payroll plans, you should contact your payroll department to inform them of your intended contribution amount.

New Identity Requirements for Non-Registered Accounts

As of January 1st 2001, in our capacity as a regulated financial institution we are compelled to obtain certain minimum documentation for new non-Registered accounts.  This is a result of new Canadian Money Laundering Legislation, as described by the IDA, the OSC requirements for us to "Know Your Client" and ScotiaMcLeod’s status as a “Qualified Intermediary” (a Canadian financial institution that has agreed to maintain certain client information for the purpose of appropriate tax treatment of US income for our investors).  The new requirements relate to "Evidence" of each client's identity and residency.   With each new account application we require for Evidence: 

#1) IMPORTANT: Please provide a photocopy of ONE of the following for each person related to the account (ie. both people on a joint account): 

• your valid drivers license (front and back)
• or your passport (signature / photo page)
• or citizenship card (front and back) 

#2) The second requirement is an (initial deposit) personal cheque for at least $1 payable to ScotiaMcLeod (which will of course be deposited to your account).  This second requirement is waived if you meet personally with a ScotiaMcLeod representative.

In summary, regulators are asking financial services firms to verify that a client wishing to open an non-Registered investment account is really who they say they are.  We recognize that this request of identity verification my seem onerous, however, to ensure the stability of our financial systems, we will comply fully with the regulations as set out to us.  If you would like to ensure that this information remains confidential, simply make the appropriate choice in box marked "Privacy and Disclosure of your Personal Information".

MAIL THE FORM(S) & EVIDENCE TO:
Carl Spiess, ScotiaMcLeod, P.O. Box 402, Scotia Plaza 15th Floor, 40 King Street West, Toronto, ON M5H 3Y2

Again, we thank you for your co-operation and understanding.  If you have any questions about completing these forms, we would like to help.  Please email us or call 416-863-7777 or 1-800-387-9273

Go to General Forms Download page for other forms and RESPs
 

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Need More Information?
Call your Investment Team at 1-800-387-9273 or E-mail us at carl_spiess@scotiacapital.com.

ScotiaMcLeod is a division of Scotia Capital Inc., member of CIPF.
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