Please enable JavaScript.
Coggle requires JavaScript to display documents.
Retail Account Type and Doc (Basic Documents (All (NCAF Requirement (KYCI,…
Retail Account Type and Doc
Basic Documents
All
Consent to Receive Commercial Electronic Messages
(CASL)
Tax Residency Self-Certification (Entities and Individuals
(RC520)
Corporation
(RC519)
Accredited Investor form
Identity Verification - please refer to the ID- AML and QI Requirements Chart for specific requirements
- The Terms & Conditions must be provided to new clients
NCAF Requirement
KYCI, KYCJ and KYCE
Basic Documentation for Joint Parties
- New Client Application Form for Joint Parties (KYCJ)
Individuals
New Client Application Form for Individual(s)
(KYCI)
Basic Documentation for Corporations
New Client Application Form for Corporations and Legal Entities (KYCE)
BIN (Business Identification number used for tax reporting)
Trading Authorization (TAE)
Beneficial Ownership Information (BN)
Third Party Supplement (TS) for authorized persons
Corporate Profile or Status, or equivalent* (For corporate accounts, document must include list all directors as well)
ID for all authorized persons.
ID for all beneficial owners with > 10% interest .
Treaty Statement (TS)
If opening a Corporate margin account, a Guarantee form (GG) is required signed by the top executive.
If the Guarantor resides in Alberta, a Guarantee Acknowledgement Certificate is required certified by a Barrister.
Corporate Account Information to help explain who and how many need to sign documents:
KYCE signed by one the officers named on the corporate profile.
Treaty statement signed by the officer who signs the KYCE
Trading Authority (TAE)
ID from all authorized persons named on the Trading Authorization (TAE) and any beneficial owners greater than 10%.
Basic Documentation for Trusts
New Client Application Form for Corporations and Legal Entities (KYCE) signed by all trustees or executors. (If unable to obtain all signatures, please contact RGMP Compliance).
Trust Identification Number used for tax reporting
Trust Agreement
Third Party Supplement to provide information about the settlor and authorized persons.
Beneficial Ownership Information (BN)
ID for all authorized persons..
ID for all settlors
ID for all named beneficiaries with more than 10%
Treaty Statement (TS)
Basic Documents
All
NCAF Requirement
Basic Documentation for Joint Parties
Foreign Residents P9
U.S. Residents
Individuals
Basic Documentation for Corporations
Basic Documentation for Trusts
U.S. Residents
last section
Foreign Residents P9
Basic Documents
Types of Accounts
#
COD/DAP Account: (Cash on Delivery or Delivery against Payment)
Basic documentation for Individuals or Basic documentation for Corporations
We do not require QI documentation such as W-8BEN or W-8IMY
Settlement Instructions
Trade Matching Statement (TM)
Tax Residency Self-Certification
CASL Form
Charitable Organization Account
Basic Documentation for Corporations
See AML/QI ID documentation doc on New Accounts site
For Canadian Registered Charities print out from the CRA site the detail page which contains the charity name /BN (Business Number) Registration number, the city, and the province for that charity. Click on the following link to CRA:
http://www.cra-arc.gc.ca/chrts-gvng/lstngs/menu-eng.html
Then click on the charity name.
Tax Residency Self-Certification
Accredited Investor form
CASL Form
Guarantee/Guarantor Account
Estate Account:
Tax Residency Self-Certification
CASL Form
Refer to the Estates Site for information:
http://connected.gmponline.com/Operations/estates/Pages/default.aspx
for comprehensive details to process any estate situation including requirements to open an estate account.
Foreign Currency Account (other than US $) P3
Basic documentation for Individual, Joint, Corporations or Trusts
Foundation Account
Hedge Account
Holding Companies or Operating Companies
Partnerships
Charitable Organization Account
Investment Club
Other Legal Entities (Churches, Hospitals, Non Profit etc)
Options Account (available only to options registered Investment Advisors)
Minors P5
Margin Account (including Long or Short) P5
Joint Account
Charitable Organization Account
Pro Accounts/GMP Securities Employees and Spouses/Dependants p6
Pro Account/GMP Securities Employee Accounts Held at Other Dealers
Pledge Account (speak with Credit prior to opening) P6
Pro Account/Employees of Other Dealers p6