Relationship Disclosure Information. The Subscriber acknowledges that the Manager is the investment fund manager and portfolio manager to the Fund. In addition, the Manager can also act as the dealer of record for the Subscriber. As a registrant, the Manager is required by law to provide certain information to the Subscriber (referred to as “relationship disclosure information”) regarding the nature of the relationship between the Manager and the Subscriber, the operating charges and transaction charges charged by the Manager to the Subscriber or the Fund, and the obligations of the Manager to the Subscriber, among other things, which information is contained in the Offering Memorandum and in this Subscription Agreement. To review the Relationship Disclosure document, please visit: xxxx://xxxxxxxxxxx.xxx/compliance/. SCHEDULE “C” SUBSCRIPTION TERMS AND CONDITIONS FOR UNITS OF METRIC ASSET ALLOCATION FUND (Continued)
Relationship Disclosure Information. The Subscriber acknowledges that the Advisor is the investment fund manager and portfolio manager to the Partnership. In addition, the Advisor may also be acting as the dealer of record for the Subscriber unless the Subscriber and the Subscriber’s Agent have completed Schedule “B”. As a registrant, the Advisor is required by law to provide certain information to the Subscriber (referred to as “relationship disclosure information”) regarding the nature of the relationship between the Advisor and the Subscriber, the operating charges and transaction charges charged by the Advisor to the Subscriber or the Partnership, and the obligations of the Advisor to the Subscriber, among other things, which information is contained in the Offering Memorandum and in this Subscription Agreement.
Relationship Disclosure Information. The Subscriber acknowledges that the Manager is the investment fund manager and portfolio manager to the Fund. In addition, the Manager may also be acting as the dealer of record for the Subscriber unless the Subscriber and the Subscriber’s Agent have completed Schedule “B”. As a registrant, the Manager is required by law to provide certain information to the Subscriber (referred to as “relationship disclosure information”) regarding the nature of the relationship between the Manager and the Subscriber, the operating charges (such as management fees and performance fees) and transaction charges (such as dealer commissions) charged by the Manager to the Subscriber or the Fund, and the obligations of the Manager to the Subscriber, among other things, which information is contained in the Offering Memorandum and in this Subscription Agreement.
Relationship Disclosure Information. The purpose of this document is to provide a meaningful and plain language description of the products and services AFI offers through the Qtrade Guided Portfolios Managed Account program, the nature and manner in which your Account is operated and AFI’s responsibilities to you. Account Relationship The Qtrade Guided Portfolios account is a "managed account" provided by AFI; investment decisions are made on a continuing basis by a registered third party portfolio manager hired by AFI. Qtrade Guided Portfolios is a registered trade name of AFI. Know Your Client, Know Your Product and Suitability Through the online Investment Plan Questionnaire and Account Application Form, you are required to answer questions that either ask about your preferences, or directly ask for personal and financial information which is broadly referred to as “Know Your Client” (KYC) information. KYC includes but is not limited to your financial circumstances, investment knowledge, investment needs and objectives, time horizon and risk profile. This information is collected to ensure that an accurate assessment of your investment profile is made, and the best product recommendations are given consistent with this investment profile. ▪ Financial circumstances - What financial assets (e.g. deposits, investments etc.) and liabilities (e.g. debt, mortgage etc.) you have, the sources and amount of your income, and your liquidity needs. We will consider the size of any transaction compared to the overall value of your net financial assets (assets minus liabilities). ▪ Investment knowledge - Whether you consider yourself, or we understand you, to be a novice at investing, have some knowledge or feel you understand financial markets, the relative risk and limitations of various types of investments and how the level of risk taken affects potential returns. ▪ Investment needs and objectives - What you tell us are your specific financial goals like saving for a property purchase or retirement. This will help us determine your liquidity needs and how to balance the desire to earn income and/or increase your capital through growth in the market value of your holdings/Account. ▪ Time horizon - When you expect to withdraw a significant amount of your Account. For example, to buy a house or pay for education. In retirement, this may also include consideration of tax requirements to withdraw minimum amounts. ▪ Risk profile - the lower of your risk tolerance (i.e. your willingness to accept risk) an...
Relationship Disclosure Information. The Subscriber acknowledges that the Manager is the investment fund manager and portfolio manager to the Trust. In addition, the Manager is also acting as the dealer of record for the Subscriber. As a registrant, the Manager is required by law to provide certain information to the Subscriber (referred to as “relationship disclosure information”) regarding the nature of the relationship between the Manager and the Subscriber, the operating charges and transaction charges charged by the Manager to the Subscriber and the obligations of the Manager to the Subscriber, among other things, which information is contained in the Offering Memorandum and, this Subscription Agreement. Also, see supplemental relationship disclosure information on Schedule H.
Relationship Disclosure Information. The Subscriber acknowledges that the Manager is the investment fund manager and portfolio manager to the Trust. In addition, the Manager may also be acting as the dealer of record for the Subscriber unless the Subscriber and the Subscriber’s Agent have completed Schedule “B”. As a registrant, the Manager is required by law to provide certain information to the Subscriber (referred to as “relationship disclosure information”) regarding the nature of the relationship between the Manager and the Subscriber, the operating charges and transaction charges charged by the Manager to the Subscriber or the Trust, and the obligations of the Manager to the Subscriber, among other things, which information is contained in the Offering Memorandum and in this Subscription. Privacy Policy and Email Communications Attached as Schedule “F” hereto is a copy of the Trust’s Privacy Policy. By signing this Subscription Agreement, the Subscriber consents to the collection, use and disclosure of his or her personal information in accordance with such policy. By signing this Subscription Agreement, the Subscriber consents to receiving Trust updates, promotional emails and other commercial electronic messages from the Manager unless the Subscriber withdraws consent by contacting the Manager at the address above.
Relationship Disclosure Information. Information (referred to as “relationship disclosure information”) regarding the nature of the relationship between WML and the Subscriber, the operating charges and transaction charges charged by WML to the Subscriber, and the obligations of WML to the Subscriber, among other things, is contained in Appendix 7. Privacy Policy Your privacy is important to us. WML has adopted a Privacy Policy identical to that of WMIC and described in Schedule “C” to the Subscription Agreement. Investors’ personal information is maintained on our networks or on the networks of our service providers and are accessible at 000 Xxxxxxxx Xxxx, 0xx Xxxxx, Xxxxxx, Xxxxxxx, X0X 0X0. Personal information may also be stored on a secure off-site storage facility. An investor may access their personal information to verify its accuracy, to withdraw their consent to any of the foregoing collections, uses and/or disclosures being made of their personal information and may update their information by contacting Westboro Management Ltd. at the following number: (000) 000-0000. By signing this Subscription Agreement, the Subscriber consents to the collection, use and disclosure of his or her personal information in accordance with such policy. KNOW-YOUR-CLIENT INFORMATION To be completed and signed by Subscriber: Annual Income* (average past two years) Net Assets*1 (includes real estate) Net Financial Assets*1,2 (excludes real estate) Under $100,000 Under $100,000 Under $100,000 $100,000-$199,999 $100,000-$299,999 $100,000-$299,999 $200,000-$299,999 $300,000-$999,999 $300,000-$999,999 $300,000-$499,999 $1,000,000-$4,999,999 $1,000,000-$4,999,999 $500,000 or over $5,000,000 or over $5,000,000 or over * Check here if annual income, net assets and net financial assets include those of spouse. 1 Net of Liabilities. 2 Financial assets means (i) cash, (ii) securities, and (iii) contracts of insurance, deposits and evidences of deposit that are not securities for the purposes of securities legislation. Investment Knowledge (please choose only one) Knowledge of Alternative Investment (or MIC) Products Other Investments Held High/Expert Subscriber is invested in other alternative fund (or MIC) products? Real Estate Bonds Good No Mutual Funds Limited Yes Mortgages Nil Term Deposits Investment Knowledge Limited – you have only invested in simple securities such as savings bonds or well-known common shares largely based on the advice of others. Good – you have either traded in or have some knowledge of...
Relationship Disclosure Information. The Subscriber acknowledges that the Investment Manager is the investment fund manager and portfolio manager to the Trust. As a registrant, the Investment Manager is required by law to provide certain information to the Subscriber (referred to as “relationship disclosure information”) regarding the nature of the relationship between the Investment Manager and the Subscriber, the operating charges and transaction charges charged by the Investment Manager to the Subscriber or the Trust, and the obligations of the Investment Manager to the Subscriber, among other things, which information is contained in the Offering Memorandum and in this Subscription Agreement.
Relationship Disclosure Information. The Subscriber acknowledges that the Manager is the investment fund manager and portfolio manager to the Fund. As a registrant, the Manager may be required by law to provide certain information to the Subscriber from time to time, however the Subscriber’s principal relationship is with his, her or its dealer. Privacy Policy and Email Communications Attached as Schedule “C” hereto is a copy of the Fund’s Privacy Policy. By signing this Subscription Agreement, the Subscriber consents to the collection, use and disclosure of his or her personal information in accordance with such policy. By signing this Subscription Agreement, the Subscriber consents to receiving Fund updates, promotional emails and other commercial electronic messages from the Manager unless the Subscriber withdraws consent by contacting the Manager at the address above.
Relationship Disclosure Information. The Subscriber acknowledges that the Manager is the investment fund manager and portfolio manager to the Fund. In addition, the Manager may also be acting as the dealer of record for the Subscriber. Where (a) the Subscriber is purchasing Units directly from the Manager and (b) the Subscriber is either an individual or is not a permitted client within the meaning of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, as a registrant, the Manager is required by law to provide certain information to the Subscriber (referred to as “relationship disclosure information”) regarding the nature of the relationship between the Manager and the Subscriber, the operating charges and transaction charges charged by the Manager to the Subscriber or the Fund, the obligations of the Manager to the Subscriber, and the complaints process and independent dispute resolution service available to the Subscriber, among other things, which information is contained in Schedule “K” and Schedule “K-1”.
