Advisor Document Centre

Here, you'll find many of the most common forms and documents required to initiate a transaction.

INVESTMENT ACCOUNTS

Account Opening Documents (Individual, Joint, In-Trust-For, Estate, Corporate)

FormDescription
GPNAAF (2021.12) New Account Application Form
GP_IPQINVESTOR PROFILE QUESTIONNAIRE
225-07-504E (11/01/2021) B2B INVESTMENT ACCOUNT
GPCID (2021.12)CLIENT INFORMATION DOCUMENT
GPEDOIS_(2015.01)ENTITY DIRECTOR/OWNER INFO SHEET (CORPORATE ACCOUNT)
CRDCORPORATE RESOLUTION (CORPORATE ACCOUNT)

Other Account Opening Documents

FormDescription
ACFFS (2020.01)SIGNATURE SERVICE ACCOUNT ADDENDUM
GPMFRF_(2017.10)SCHEDULED MUTUAL FUND REDEMPTION FORM

Other Documents

FormDescription
100-04-105E (09/25/2020)B2B CLIENT INFORMATION CHANGE FORM (CHANGE OF DEALER)
100-06-244E (01/10/2018)B2B NON-REGISTERED TRANSFER APPLICATION FORM
100-07-200E (03/16/2020)B2B CASH DISBURSEMENT FORM

RETIREMENT SAVINGS ACCOUNTS

Account Opening Documents (RRSP, SRRSP, LIRA, RIF, SRIF, LRIF, LIF)

FormDescription
GP_NAAF (2021.12)New Account Application Form
GP_IPQINVESTOR PROFILE QUESTIONNAIRE
GP_CID (2021.12)CLIENT INFORMATION DOCUMENT
225-07-503E (11/01/2021)B2B RETIREMENT ACCOUNT

Other Account Opening Documents

FormDescription
ACFFS (2020.01)SIGNATURE SERVICE ACCOUNT ADDENDUM
GPMFRF_(2017.10)SCHEDULED MUTUAL FUND REDEMPTION FORM
100-04-105E (09/25/2020)B2B CLIENT INFORMATION CHANGE FORM (CHANGE OF DEALER)
100-06-243E (01/09/2018)REGISTERED TRANSFER FORMS (RSP, SPSP, LIRA, RIF, SRIF, LRIF, LIF)
100-07-200E (03/16/2020) B2B CASH DISBURSEMENT FORM

Other Government Documents

FormDescription
T1006 E (21)DESIGNATING AN RRSP WITHDRAWAL AS A QUALIFYING WITHDRAWAL
T2030 E (20)GOVERNMENT RRSP DIRECT TRANSFER UNDER SUBPARAGRAPH 60(L)(V)
T2033 E (21)GOVERNMENT RRSP DIRECT TRANSFER UNDER PARAGRAPH 146(16)(A) OR 146.3(2)(E)
T2151 E (20)DIRECT TRANSFER OF A SINGLE AMOUNT UNDER SUBSECTION 147(19) OR SECTION 147.3
T2220 E (20)TRANSFER FROM AN RRSP OR A RRIF TO ANOTHER RRPS OR RRIF ON BREAKDOWN OF MARRIAGE OR COMMON-LAW PARTNERSHIP
T3012A E (20)TAX DEDUCTION WAIVER ON THE REFUND OF YOUR UNUSED RRSP CONTRIBUTIONS

Visit the Canada Revenue Agency Website for more information on the Registered Retirement Savings Plan.

TAX ADVANTAGED ACCOUNTS - TFSA

Account Opening Documents

FormDescription
GPNAAF (2021.12)New Account Application Form
GP_IPQINVESTOR PROFILE QUESTIONNAIRE
GP_CID (2021.12)CLIENT INFORMATION DOCUMENT
225-07-542E (11/01/2021)B2B TFSA ACCOUNT

Other Account Opening Documents

FormDescription
ACFFS_(2020.01)SIGNATURE SERVICE ACCOUNT ADDENDUM
GPMFRF_(2017.10)SCHEDULED MUTUAL FUND REDEMPTION FORM

Other Documents

FormDescription
100-04-105E (09/25/2020)B2B CLIENT INFORMATION CHANGE FORM (CHANGE OF DEALER)
100-06-244E (01/10/2018)B2B REGISTERED TRANSFER APPLICATION FORM
100-07-200E (03/16/2020)B2B CASH DISBURSEMENT FORM

Visit the Canada Revenue Agency Website for more information on Tax-Free Savings Accounts.

TAX ADVANTAGED ACCOUNTS - RESP

Account Opening Documents

FormDescription
GP_NAAF (2021.12)New Account Application Form
GP_IPQINVESTOR PROFILE QUESTIONNAIRE
AP1004 1326972 12/20MACKENZIE EDUCATION SAVINGS PLAN APPLICATION (FAMILY PLAN)
GP_CID (2021.12)CLIENT INFORMATION DOCUMENT
GPCODR7597_(2018.12)CHANGE OF DEALER

Other Government Documents

FormDescription
HRSDC SDE0074 (2005-08-001) OVERCONTRIBUTIONS TO RESPS AND GRANT REPAYMENT FORM
ESDC SDE 0100 - Part A (2020-07) ERESP TRANSFER (FORM A: GENERAL INFORMATION - SUBSCRIBER)
ESDC SDE 0100 – Part B (2020-07) ERESP TRANSFER (FORM B: RESP ACCOUNT / BENEFICIARY TRANSFER INFORMATION - RECEIVING PROMOTER)
ESDC SDE 0100 - Part C (2020-07) ERESP TRANSFER (FORM C: RESP ACCOUNT / BENEFICIARY TRANSFER INFORMATION - RELINQUISHING PROMOTER)
ESDC SDE 0093 (2018-01) EBASIC AND ADDITIONAL CANADA EDUCATION SAVINGS GRANT (CESG) AND CANADA LEARNING BOND (CLB)
ESDC SDE 0093-A (2017-05) ECESG AND CLB: ANNEX A - ADDITIONAL BENEFICIARIES
ESDC SDE 0093-B (2018-01) ECESG AND CLB: ANNEX B - PRIMARY CAREGIVER AND/OR CUSTODIAL PARENT/LEGAL GUARDIAN
ESDC SDE 0093-B (2017-05) ECESG AND CLB: ANNEX C - APPLICATION: SASKATCHEWAN ADVANTAGE GRANT FOR EDUCATION SAVINGS (SAGES)
RC96 E (21)LIFELONG LEARNING FORM-REQUEST TO WITHDRAW FUNDS FROM AN RRSP
NAS-2120-(01-21) EGOVERNMENT SIN APPLICATION FORM

Visit the Canada Revenue Agency Website for more information on the Registered Education Savings Plan.

TAX ADVANTAGED ACCOUNTS - RDSP

Account Opening Documents

FormDescription
GP_NAAF (2021.12)New Account Application Form
GP_IPQINVESTOR PROFILE QUESTIONNAIRE
GP_CID (2021.12)CLIENT INFORMATION DOCUMENT
AP1003 1326972 12/20MACKENZIE DISABILITY SAVINGS PLAN APPLICATION
GPCODR7597_(2018.12)CHANGE OF DEALER

Other Government Documents

FormDescription
T2201 E (21)Disability Tax Credit Certificate
MFCDTC RDSP DISABILITY TAX CREDIT (DTC) ELECTION FORM  (MACKENZIE FINANCIAL)
MFCHCNC RDSP HOLDER CONSENT TO NON-HOLDER CONTRIBUTIONS  (MACKENZIE FINANCIAL)
ESDC EMP5611 (2015-04-001) EHOLDER CONSENT TO AN RDSP TRANSFER 
ESDC EMP5608 (2015-01-001) E
CANADA DISABILITY SAVINGS GRANT AND/OR CANADA DISABILITY SAVINGS BOND APPLICATION 
ESDC EMP5490 (2011-06-014) EREVOCATION OF REQUEST FOR CANADA DISABILITY SAVINGS GRANTS AND/OR CANADA SAVINGS BONDS
RC4625 E (21)ROLLOVER TO A REGISTERED DISABILITY SAVINGS PLAN (RDSP) UNDER PARAGRAPH 60(M)
RDSPDAP RDSP DISABILITY ASSISTANCE PAYMENT AND PREAUTHORIZED CHEQUING FORM 
ESDC EMP5609 (2015-01-001) EANNEX A – JOINT HOLDER APPLICATION FOR CANADA DISABILITY SAVINGS GRANT AND/OR CANADA DISABILITY SAVINGS BOND 
ESDC EMP5610 (2015-01-001) EANNEX B – PRIMARY CAREGIVER APPLICATION FOR: CANADA DISABILITY SAVINGS GRANT AND/OR CANADA DISABILITY SAVINGS BOND 

Visit the Canada Revenue Agency Website for more information on the Registered Disability Savings Plan.

FINANCIAL TRANSACTION DOCUMENTS

FormDescription
GP_FACFFINANCIAL ACCOUNT CHANGE FORM
GP_TAOITRANSFER AUTHORIZATION OF INVESTMENT (IN KIND/CASH)
GP_CRDA COMMISSION REBATE DISCLOSURE
GP_UPAUNSUITABLE POSITION/TRANSACTION ACKNOWLEDGEMENT
GP_PAC PRE-AUTHORIZED CHEQUING AGREEMENT
T1036 E (20)HOME BUYERS' PLAN (HBP) REQUEST TO WITHDRAW FUNDS FROM AN RRSP
100-04-107E (09/30/2020)B2B MUTUAL FUND TRADE TICKET
100-06-201E (03/25/2021)B2B INTERNAL TRANSFER FORM
100-06-202E (01/09/2018)B2B BANK GIC PURCHASE FORM

NON-FINANCIAL TRANSACTION DOCUMENTS

FormDescription
GP_NFACNON-FINANCIAL ACCOUNT CHANGE FORM
GP_KYCFCLIENT KYC FORM
GP_TPDSTHIRD-PARTY DETERMINATION STATEMENT
GPCODR7597_(2018.12)CHANGE OF DEALER
GP_ICOFARINTERNAL CHANGE OF ADVISOR
LTAINDLIMITED TRADING AUTHORIZATION FORM
T1213 E (21)REQUEST TO REDUCE TAX DEDUCTION AT SOURCE
100-03-203E (09/30/2020)B2B BANK TRUSTED CONTACT PERSON INFORMATION
100-03-203E (09/30/2020)B2B DEREGISTRATION / WITHDRAWAL
100-03-022E (03/16/2020)B2B SYSTEMATIC INSTRUCTION FORM

ADVISOR NOTES AND DOCUMENTS

FormDescription
GP_SACRADVISOR/CLIENT NOTES
GP_CCRFCLIENT CONTACT RECORD FORM
GP_TRFTRADE RATIONALE FORM
GP_LMFLEVERAGE MEETING FORM
GP_IPQ  INVESTOR PROFILE QUESTIONNAIRE
GP_PFPQWEALTH PLANNING QUESTIONNAIRE
GP_LAFLEVERAGE APPROVAL FORM
GP_FIAFINANCIAL APPENDIX
GP_LDDLEVERAGE DISCLOSURE DOCUMENT

DISCLOSURE DOCUMENTS

FormDescription
GP_CID (2021.12)CLIENT INFORMATION DOCUMENT
GPCCDCHARGES AND COMPENSATION DOCUMENT
SSACCDSSA COMPENSATION AND FEE DISCLOSURE
LDDLEVERAGE DISCLOSURE DOCUMENT
GPPPNPRIVACY POLICY DISCLOSURE
CRDCOMMISSION REBATE DISCLOSURE
FUCDFFREE UNIT CONSENT AND DISCLOSURE FORM
CCICLIENT COMPLAINT INFORMATION

MARKETING APPROVAL DOCUMENTS

FormDescription
GPAPF200908012ADVERTISING PRE-APPROVAL REQUEST FORM
GPCAACRF20090812ADVERTISING ALLOWANCE REIMBURSEMENT REQUEST FORM
GP_BSGBRAND STYLE GUIDE

REFERAL AGREEMENTS 

FormDescription
HOMEQUITYHOME EQUITY TRUST
MMRFMANULIFE MORTGAGE REFERRAL AGREEMENT

CLIENT MARKETING DOCUMENTS 

FormDescription
Download2020 ACCOUNT STATEMENT GUIDE
Download2020 FUND FACTS GUIDE
Download2021 RRSP FACTS GUIDE
Download2021 RRSP SEASON GUIDE
DownloadFIRST 60 DAYS RRSP CONTRIBUTION GUIDE
DownloadAUTHORIZATION TO ISSUE FIRST 60-DAY CONTRIBUTION TAX RECEIPT
DownloadWHY YOU NEED AN INVESTMENT POLICY STATEMENT
DownloadTHE BENEFITS OF DEVELOPING A FINANCIAL PLAN
DownloadUNDERSTANDING THE COST OF ADVICE
DownloadHOW YOUR FINANCIAL ADVISOR IS COMPENSATED
DownloadWORKING WITH YOUR FINANCIAL ADVISOR
DownloadA GUIDE TO ESTATE PLANNING
DownloadA GUIDE TO TAX EFFICIENT INVESTING

POLICIES AND PROCEDURES DOCUMENTS 

FormDescription
11/2021PORTFOLIO AND SUITABILITY GUIDELINES
10/2018ACCOUNT OPERATIONS AND PROCEDURES
09/2018LEVERAGE POLICY AND PROCEDURES
05/2019ADVERTISING POLICY AND PROCEDURES
05/2020REGISTRATION, EDUCATION AND REMUNERATION POLICIES AND PROCEDURES MANUAL
10/2009KNOW YOUR PRODUCT POLICY AND PROCEDURES MANUAL
12/2020DOCUMENT MANAGEMENT MANUAL
11/2021ANTI MONEY LAUNDERING & TERRORIST FINANCING POLICY
06/2008ANTI MONEY LAUNDERING POLICY INSURANCE
06/2008ANTI MONEY LAUNDERING PROCEDURES INSURANCE
10/2011DO NOT CALL POLICY
DownloadFAX GUIDELINES