Branch Number. We understand that you require confirmation from us of certain information for the purposes of your verifying the identity of the above-noted account holder as required by the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) (“PCMLTFA”). To assist you in this regard, we confirm the following: • We are a financial entity1 as defined under the PCMLTFA; • We currently maintain the above account in Canada for the above-noted account holder; and • The account is not one that is exempt from identification requirements under the PCMLTFA (such as an RRSP or reverse mortgage). Yours truly [name of financial entity] [signature] [Name, title and contact information of authorized officer] 1 Under the PCMLTFA, a financial entity means a Schedule I or II bank or an authorized foreign bank under the Bank Act (Canada) a credit union, a caisse populaire, a financial services cooperative, a registered trust company or loan company, or an agent of the Crown that accepts deposit liabilities in the course of providing financial services to the public. INFORMATION REQUIRED FOR INTERNATIONAL INFORMATION TAX REPORTING (U.S. FATCA) [To be completed and signed by all Subscribers unless Schedule “B” has been completed and the Subscriber’s Agent has agreed to discharge FATCA obligations by checking the “Yes” box in Schedule “B”. For Joint Accounts, a separate Schedule “G” must be completed and signed by each individual account holder.] INDIVIDUAL SUBSCRIBERS Name of Subscriber: Print Name – (Full Legal Name) Are you a United States (U.S.) person for U.S. tax purposes? Note – A U.S. person for U.S. tax purposes includes a U.S. resident or a U.S. citizen (even if that individual resides outside of the U.S. and is also a resident of another jurisdiction for tax purposes). Yes No If yes, provide a completed Form W-9 and indicate the U.S. Tax Information Number (TIN): (social security number (SSN) or IRS individual taxpayer identification number (ITIN)) If no, provide a completed Form W-8BEN. I certify that the information I have provided on this Schedule “G” is, to the best of my knowledge and belief, correct and complete. Signature: Date: SUBSCRIBERS THAT ARE ENTITIES Defined terms referred to below are set out under the Income Tax Act (Canada) (the “ITA”) and the Intergovernmental Agreement between Canada and the United States for the Enhanced Exchange of Tax Information under the Canada-U.S. Tax Convention (the “IGA”), and certain definitions have been reprodu...
Branch Number. We understand that you require confirmation from us of certain information for the purposes of your verifying the identity of the above-noted account holder as required by the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) (“PCMLTFA”). To assist you in this regard, we confirm the following: • We are a financial entity as defined under the PCMLTFA; • We currently maintain the above account in Canada for the above-noted account holder; and • The account is not one that is exempt from identification requirements under the PCMLTFA (such as an RRSP or reverse mortgage). Yours truly, [name of financial entity] [signature] [Name, title and contact information of authorized officer] SCHEDULE F BENEFICIAL OWNERSHIP FOR CORPORATIONS, TRUSTS AND PARTNERSHIPS Check the following box if (a) the Subscriber(s) is an existing Limited Partner of the Partnership, (b) the information requested below has already been provided in connection with a prior purchase of Partnership Units, AND (c) there has been no change to the information previously provided: Date of previous subscription: Otherwise, please complete the following: If the Subscriber is a Corporation, the names of the current directors of the Subscriber are listed below: [attach separate sheet if necessary] Name If the Subscriber is a trust, the names and addresses of all known trustees, beneficiaries and settlors are as follows: Name Role Address For all Subscribers, the names and addresses of all individuals who • in the case of a corporation, own or control directly or indirectly (i) 25% or more of the voting shares of the corporation or (ii) 25% or more of the total equity of the corporation, and • in the case of any other entity, own or control directly or indirectly 25% or more of the interests in the entity or otherwise exercise control over the affairs of the entity are listed below: [attach separate sheet if necessary] Name Address The names, titles and signatures of individuals who have the power to provide instructions to the Manager on behalf of the Subscriber are as follows: Name Title Signature Please attach a copy of: • in the case of a corporation, the articles of incorporation and by-laws • in the case of a partnership, the partnership agreement • in the case of a trust, the declaration of trust or equivalent • if none of the above, other constating documents • Other documents as may be requested by the Manager from time-to-time (Additional information may be appended to t...
Branch Number. We understand that you require confirmation from us of certain information for the purposes of your verifying the identity of the above-noted account holder as required by the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) (“PCMLTFA”). To assist you in this regard, we confirm the following: • We are a financial entity as defined under the PCMLTFA; • We currently maintain the above account in Canada for the above-noted account holder; and • The account is not one that is exempt from identification requirements under the PCMLTFA (such as an RRSP or reverse mortgage). Yours truly, [name of financial entity] [signature] [Name, title and contact information of authorized officer] SCHEDULE F TRUSTED CONTACT AND TRUSTED ADVISOR FORM APPLICABLE TRUSTED CONTACT AND TRUSTED ADVISOR FORM TO BE PROVIDED BY THE MANAGER Filing a complaint with us SCHEDULE G WHAT TO DO WHEN YOU HAVE A COMPLAINT If you have a complaint about our services or a product, contact us at: Xxxxxx Xxxxxxxx Capital Management Ltd. Xxxxxx Xxxxxxxx RSP Fund 00 Xxx Xxxxxx West, Suite 1200 Waterloo, Ontario N2L 1T2 Telephone: (000) 000 0000 E-mail: xxxx@xxxxxxxxxxxxxx.xxx You may want to consider using a method other than e-mail for sensitive information. Tell us: • what went wrong • when it happened • what you expect, for example, money back, an apology, account correction Help us resolve your complaint sooner • Make your complaint as soon as possible • Reply promptly if we ask you for more information • Keep copies of all relevant documents, such as letters, e-mails and notes of conversations with us We will acknowledge your complaint We will acknowledge your complaint in writing, as soon as possible, typically within 5 business days of receiving your complaint. We may ask you to provide clarification or more information to help us resolve your complaint. We will provide our decision We normally provide our decision in writing, within 90 days of receiving a complaint. It will include: • a summary of the complaint • the results of our investigation • our decision to make an offer to resolve the complaint or deny it, and • an explanation of our decision If our decision is delayed If we cannot provide you with our decision within 90 days, we will: • inform you of the delay • explain why our decision is delayed, and give you a new date for our decision You may be eligible for the independent dispute resolution service offered by the Ombudsman for Banking Services and Investmen...
Branch Number. We understand that you require confirmation from us of certain information for the purposes of your verifying the identity of the above-noted account holder as required by the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (Canada) (“PCMLTFA”). To assist you in this regard, we confirm the following: We are a financial entity1 as defined under the PCMLTFA; We currently maintain the above account in Canada for the above-noted account holder; and The account is not one that is exempt from identification requirements under the PCMLTFA (such as an RRSP or reverse mortgage). Yours truly [name of financial entity] [signature] [Name, title and contact information of authorized officer] 1 Under the PCMLTFA, a financial entity means a Schedule I or II bank or an authorized foreign bank under the Bank Act (Canada) a credit union, a caisse populaire, a financial services cooperative, a registered trust company or loan company, or an agent of the Crown that accepts deposit liabilities in the course of providing financial services to the public. SCHEDULE “G” STANDING INSTRUCTIONS REGARDING INTERIM AND ANNUAL FINANCIAL STATEMENTS [To be completed and signed by all Subscribers] TO: Xxxxxxxx Park Credit Strategies Fund (the “Fund”) c/o Lawrence Park Capital Partners Ltd. (the “Manager”) I acknowledge that I am entitled to, but may choose not to, receive annual financial statements and interim financial statements regarding the Fund. Currently, I have chosen not to receive a copy of the annual or interim financial statements in respect of the Fund. The Manager will continue to follow these standing instructions until I inform the Manager of a change in such standing instructions. Should I choose to change this standing instruction, I will tick one or both boxes below and execute this Schedule “G” where indicated. If I do not tick one of the boxes, the Manager will deem me to have instructed the Manager that I do not wish to receive interim or annual financial statements. I would like to receive the annual financial statements. I would like to receive the interim financial statements. Signature: Name: SCHEDULE “H” STATEMENT OF POLICIES CONCERNING CONFLICTS OF INTEREST WITH RELATED AND CONNECTED ISSUERS AND RELATED REGISTRANTS XXXXXXXX PARK CAPITAL PARTNERS LTD. The Manager may engage in activities as a portfolio manager and as an exempt market dealer in respect of securities of related or connected issuers but will do so only in compliance with applic...
