Use this account opening guide to assist you in applying for an individually owned Discount Brokerage
1Non-registered (Investment) Account with B2B Bank Discount Brokerage (B2BBDB). Please ensure
the following steps are completed in order to avoid delays in processing your account application:
1. Fill out the B2BBDB Non-registered (Investment) Account Application fully and accurately, including all client
identification information.
2. Submit all relevant supplementary documentation (see checklist below).
3. Attach a void cheque.
4. Attach a photocopy (front and back) of client photo identification (i.e. current Canadian issued passport,
driver’s license, citizenship card, or armed forces card). If the client does not have valid photo identification
please contact the Trading Desk at 1.866.542.3403.
5. Submit ALL pages of the completed, signed, and dated application along with the relevant supplementary
documents (both mandatory and optional) to:
Fax — Attention: B2BBDB Trading Desk at 416.413.0733.
Mail or courier — B2B Bank Discount Brokerage, Attention:
Trading Desk, 199 Bay Street, Suite 610, PO Box 35 STN Commerce Court, Toronto ON M5L 0A3.
Account Opening Checklist
Mandatory documents
2: (check all applicable and submit)
B2BBDB Non-registered (Investment) Account Application (ALL pages, completed, signed, and dated)
Void cheque
Client Banking Confirmation Form
Politically Exposed Foreign Person (PEFP) Statement (if applicable – see definition of PEFP on page 7
of the application)
Photocopy of client photo identification
Third Party Determination Statement (if applicable).
Optional documents: (check only those applicable and submit)
Consent to Sharing of Information form (for clients with a Mutual Fund licensed advisor only)
Trading Authorization documentation
Power of Attorney documentation
To learn more about our B2B Bank Discount Brokerage platform or to download the applicable forms please visit b2bbank.com/dealerservices. To open a Joint, Joint Tenants in Common, Informal Trust (ITF), Formal Trust, Estate, Corporate, or Unincorporated Organization account, and to obtain more information, please call the Trading Desk at 1.866.542.3403 for assistance.
Non-registered (Investment) account
Page 2 of 5
B2BBDB Non-registered (Investment) Account Application — Discount Brokerage
Please review the following guidelines to assist with completing the application fully and accurately.
Applications missing the required information may result in processing delays.
Section
Required Fields
Tips
1. Account Type and Intended Use Select (A) for an Individual Account Intended Use of Account must be specified.
Intended Use of account — specify what the account is used for (i.e. Retirement Savings, Children’s Education, etc.)
2. Applicant Information All
**IMPORTANT**
Questions pertaining to a Politically Exposed Foreign Person (“PEFP”) or a “Prescribed Family Member of a PEFP” must be completed. The definitions of these terms are included on page 7
of the B2BBDB Non-registered account application.
If you answered “Yes” to either question you must complete and attach the supplemental form — Politically Exposed Foreign Person Statement
1. Business/Trust/Other Entity Number — leave blank.
2. Residential address — a P.O. Box will not be accepted unless a street address is included 3. Do not forget to include the number
of dependents.
4. If you do not have an email address please indicate “n/a”.
5. Employer information – if you are not currently working, indicate either “Retired” or “Not Working”; if you are self-employed, you must indicate the type of business.
6. Nature of Principal Business or Occupation must be completed.
3. Co-Applicant Information Not applicable (leave blank).
4. In Trust For Information Not applicable (leave blank).
5. Spousal Information If you have a spouse, check “Yes” and provide their details in the Applicant’s Information column. If you do not have a spouse, check “No”. Do not complete the Co-Applicant’s Information column – leave blank.
Applicant’s Information —
1. If you have a spouse, B2BBDB is required to obtain information regarding his/her employer (despite the account being individually owned). 2. If your spouse is currently not working indicate
either: “Retired” or “Not working”, and proceed to provide answers to the remaining questions. 3. Self-Employed: If you indicated “Self-
employed”, you must indicate the Type of Business.
6. Shareholder Communication Information
Parts 1 and 2 — read the terms and check off the
applicable boxes. 1. Part 1— “I WANT to receive ALL security holder materials sent to the beneficial owners of securities” will be the default if no option is chosen.
2. Part 2 — “I OBJECT” will be the default if no option is chosen.
7. Annual Account Fees Select (A) (recommended), (B) or (C) 1. Option (C) will be the default if no option is chosen.
2. Option (D) is unavailable for this account type. 3. For more information on applicable account
Section
Required Fields
Tips
8. Account Information All 1. If you answered “Yes” to section (A), complete and attach the supplemental form — Third Party Determination Statement 2. If you answered, “Yes” to (B) or (C), then the answer to (A) must
be “Yes” as well. Please see the additional documentation requirements that can be found under Assign Trading Authorization or Assigning a Power of Attorney at:
b2bbank.com/dealerservices — Discount Brokerage
9. Banking Information And Identity Verification
All Banking Information
Complete and attach the supplemental — Client Banking Confirmation Form.
Identity Verification
1. See Section 9 of the application for types of acceptable ID and purpose.
2. Remember to attach a clear photocopy (front and back) of the respective I.D.
3. Complete the Place of Issue and Expiry Date fields.
10. Dealer and Financial Advisor Name Not applicable (leave blank).
11. Order execution only acknowledgement Please sign and date the acknowledgement.
Page 4 of 5
Client Banking Confirmation Form
Purpose of the form:
• Authorizes B2BBDB to confirm with the banking institution named on your application that the applicant/annuitant
name provided to B2BBDB corresponds with their banking records. This information is required in order to comply
with Federal legislation – Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).
• You may also use this form to change or correct existing banking information affiliated with your
B2BBDB account.
How to complete the form:
Section
Required fields
Tips
1. Client Information All
•
For new accounts, indicate “New” followed by the account type (e.g. New Non-registered/Investment Account) in the subject line.•
For existing accounts, indicate your B2BBDB account number(s).2. Banking Information All
Void cheque is mandatory For accounts with more than one applicant — if the banking information is different for each applicant: 1. Each applicant must fill out his or her own Client Banking Confirmation Form. 2. Each applicant must provide a void cheque.
3. Client Banking Authorization All If the bank account information provided in section 2 is in joint names, all owners of the account must sign under client signature.
For more information, please call the Trading Desk at 1.866.542.3403 or visit b2bbank.com/dealerservices.
Consent to Sharing of Information
Purpose of the form:
• Authorizes B2BBDB to disclose personal account information periodically and upon request to the dealer and
financial advisor indicated on the form.
• This document outlines the conditions and type of information that may be disclosed.
How to complete the form:
Section
Required fields
Tips
RE: Consent to disclosure of Information
regarding B2BBDB account numbers Write down the B2BBDB Account number(s) that you consent to sharing information on.
•
For new accounts, indicate “New” followed by the account type. (e.g. New Non-registered/ Investment Account) in the subject line.•
For existing accounts, indicate your B2BBDB account number(s).(A) Print the name of the representative followed by his
or her representative number. Contact your financial advisor if you do not know their representative number.
(B) Print the name of the “dealer” with whom your
financial advisor is licensed. Contact your financial advisor if you do not know their dealer’s name.
Bottom portion: date, name(s) and signature(s)
All
