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* = mandatory information required
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Registered Account Transfer Form
Fax Cover Checklist
Initiating Transfer To:
➤TD Waterhouse Canada Inc. and TD Investment Services Inc. (TD Mutual Funds): Fax 1 -877-639-4547
➤TD Canada Trust (GIC / Term): Fax to 1-877-639-4547
* Your ACF Logon:
Transfer Checklist:
Attach a copy of the most recent client statement from the delivering institution (if available)
Ensure client information section is complete. Note: Ensure client information at delivering institution is
identical to the client information at TD Waterhouse Canada Inc., TD Mutual Funds or TD Canada Trust.
Ensure the account plan type is similar at the delivering institution and TD Waterhouse Canada Inc.,
TD Mutual Funds or TD Canada Trust
Ensure the governing legislation of the receiving and delivering accounts match; for example Ontario to
Ontario (locked-in plans only)
If transferring In-Cash, ensure the client is informed of potential fees (see "Transfer Fees")
Check either In-Cash, In-Kind, Mixed or Partial indicator (do not select the $ sign if requesting an In-Kind
transfer) and ensure all transfer instructions are complete.
Review assets with a maturity term; submit requests to transfer them 30 days prior to maturity
Ensure that the transfer form is signed and dated by the client within the six (6) months
Transfer procedures including filing of original transfer documentation, transfer tips, instructions, completion
timelines and delivering institutions refer to:
http://www.onewealth.isd.tdbank.ca/products_services/account_admin/common/client_transfer_services/
or
B-Web: http://w3.td.com/td/intranet/tdct/investing/transfers
External Transfer In
Internal Tr ansfer
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Number of pages including cover
Contact Name
Telephone Number
RR/IA code
(TD Wealth Financial Planning and
TD Weal
th Private Investment Advice only)
Approximate Transfer Value $
Receiving Account Number
(TD Waterhouse Canada Inc., TD Mutual Funds or TD Canada Trust)
This fax is intended only for the use of the addressee(s), and is confidential and may be privileged. If you are not an intended recipient or responsible for
delivering the message to an intended recipient, any review, disclosure, retransmission, dissemination, reproduction or other use of any part of this
communication is strictly prohibited, as is the taking or omitting of any action in reliance upon this communication. If you receive this communication in
error or without authorization please notify us immediately and destroy the entire communication.
531332 (0415)
Clear Fields
Resource Centre Links:
***IMPORTANT NOTE***
For all PENSION transfers, Form T2151 must be completed
Please see attached link:
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Page 1 of 3
Client / Head Office Transfer Dept. / Delivering Institution
595172 (0723)
Transfer Authorization
for Registered Investments
Credit SR transit # Servicing transit # SRT logon ID
This form must be used for Registered Investments.
Please note: The data entered on this form may be scanned
and stored electronically. Please print neatly in
the spaces provided to ensure completeness,
accuracy and machine readability.
A:
Client
I
dentification
Account
/Policy Holder Last Name First Name
Address
City Prov. Postal Code
Social Insur ance Number
- -
Home Telep hone Numbe r
-
Business Tel ephone Nu mber
-
B:
Receiving
Institution
Information
All plans trusteed by The Canada Trust Company (See reverse for mailing address)
TD Direct Investing
TD Easy Trade
TD Wealth Financial Planning
TD Wealth Private Investment Advice
TD Wealth Private Investment Counsel
TD Investment Services Inc. (TD Mutual Funds)
TD Canada Trust
Multi-Holding Account - TD Investment Services Inc.
Client Account Policy Number
Dealer Name Dealer Number
Broker Name Agent Number
Business Telephone Number
-
Business Fax Number
-
Dealer Account Number
Registered Type:
RRSP
Spousal RRSP
LIRA
LRSP
RLSP
TFSA
FHSA
RRIF
Spousal RRIF
LRIF
LIF
RLIF
Other
FINS #
T 0 0 7
DTC #
5 0 3 6
CUID #
G I S T
Euroclear #
9 9 1 2 3
Contact Name
Contact Telephone Number ( -
C:
Client Direction
to Relinquishing
Institution
Relinquishing Institution Name
Address
City Prov. Postal Code
Group Plan Number (if applicable) Client Account/Policy Number
Transfer: (check one box only)
All In-Kind (as is) All In-Cash * Partial * as listed below, or on attached list All assets * but mixed In-Cash and In-Kind
(as is) see list below or attached list
List attached
*Please refer to statement in bold Client Authorization section.
In-Kind
Dollars
Shrs/Units
or
In-Cash
Dollars
Shrs/Units
Investment Amount Symbol and/or Certificate Number or Policy Number
Investment Description
In-Kind
Dollars
Shrs/Units
or
In-Cash
Dollars
Shrs/Units
Investment Amount Symbol and/or Certificate Number or Policy Number
Investment Description
In-Kind
Dollars
Shrs/Units
or
In-Cash
Dollars
Shrs/Units
Investment Amount Symbol and/or Certificate Number or Policy Number
Investment Description
Shaded Areas For Head Office Use Only
For use by
Relinquishing Institution
Delay Delivery Until
Delay Delivery Until
Delay Delivery Until
For best results please complete online and include your ACF2 (SRT Logon) ID
Please Note: You cannot save a completed copy of this form on your computer. If you would like a copy for your records, please fill it in and print it.
Clear Fields
Link to:
Locked-In
Transfers
Confirmation
Form (TDMF
Only)
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- -
$
( ) - ( ) -
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Page 2 of 3
Client / Head Office Transfer Dept. / Delivering Institution
595172 (0723)
D:
Client
Authorization
I hereby request the transfer of my account and its investments as described above.
Please cancel all open orders (G.T.C./SWF/PAC, etc) for my account(s) on your books.
* Where I have requested a Transfer In-Cash, I authorize the liquidation of all or part of my investments. I agree to pay any applicable fees,
charges or adjustments (as per Disclosure on reverse).
I acknowledge that, if a GIC or Term Deposit is transferred from a TD Canada Trust registered plan to a TD Waterhouse Canada Inc.
re
gistered plan, then any maturity instruction of renew principal and interest shall be changed to payout principal and interest.
I h
ave read the disclosure on reverse and authorize transfer as above.
Signature of Account Holder
Date I consent to the transfer of the account.
Signature of irrevocable Beneficiary (if applicable)
Date
E:
For Use By
Relinquishing
Institution Only
Shaded Areas For Head Office Use Only
Registered Type: RRSP LIRA LRSP RLSP RRIF
TFSA LRIF LIF RLIF FHSA
Qualified Non Qualified
Other
Spousal Plan: No Yes If yes:
Last Name
First Name Initial Social Insurance Number
Lo
cked In:
No
Yes - Locked-in confirmation attached
Lo
cked-in Funds Governing Legislation
Co
ntact Name Telephone Number Fax Number
Authorized Signature Date (DD-MM-YYYY)
TD Easy Trade is a service of TD Direct Investing. TD Direct Investing, TD Wealth Financial Planning and TD Wealth Private Investment Advice are divisions of TD Waterhouse Canada Inc., a
subsidiary of The Toronto-Dominion Bank. TD Waterhouse Canada Inc. - Member of the Canadian Investor Protection Fund. TD Wealth Private Investment Counsel represents the products and
services offered by TD Waterhouse Private Investment Counsel Inc., a subsidiary of The Toronto-Dominion Bank.
® The TD logo and other TD trade-marks are the property of The Toronto-Dominion Bank or its subsidiaries.
END
Page 3 of 3
TD Canada Trust (RSP and RIF)
3500 Steeles Avenue East
Tower 2, 2nd Floor
Markham, ON L3R 0X1
TD Future Builder Service & Quality
895 Don Mills Road
One Morneau Sobeco Centre, Suite 700
Toronto, ON M3C 1W3
Fax
#: 1-855-280-3431
TD W
aterhouse Canada Inc.
TD Investment Services Inc.
(TD Mutual Funds/MHA)
3500 Steeles Avenue East
Tower 2, 2nd Floor
Markham, ON L3R 0X1
Account Transfer Client Disclosure
In our business we are dedicated to continually improving Client Service. This Client Disclosure and informational document was developed to help you understand the
account transfer process. It is important to read this document carefully before signing Section D, called Client Authorization on this Account Transfer form. Should
you
have any questions after reading this document, please be sure to address your inquires with your Receiving Institution's Investment Representative.
Wha
t is the difference between In-Cash and In-Kind?
In-Cash means that all your assets which are not currently in liquid form are to be liquidated, sold, redeemed, etc. in order that your account can be transferred to the Receiving
Institution in the form of cash.
It is important to note that if you have indicated an In-Cash transfer of your account, the trades will be executed at market. The trades will be placed on a best efforts basis
subsequent to the receipt of the transfer form and are subject to normal commission charges. In order to avoid delays, you may place the trades yourself with the delivering
institution at the time of signing this transfer form.
In-Kind means that you want the account transferred, as is. If you hold investment products and a cash balance, then the investment products may be transferred as well as the
cash balance in their current state.
How long will my transfer take?
The time required to completely transfer your account will for the most part depend on the type of account you are transferring and the type of investment products you
currently hold. Please note that all your assets may not all be transferred at exactly the same time.
Registered Accounts:
Under current IIROC (Investment Industry Regulatory Organization of Canada) regulations, this type of transfer may take approximately 10 business days from the time of
receipt by the Delivering Institution, with the exceptions listed below.
Locked In Accounts:
These plans generally take longer to transfer, as additional documents are required in order for the Receiving Institution to administer the account, as set out under the various
Provincial and Federal Legislations. It is important to ensure that the account opened at your new firm is opened as Locked In, and under the same Provincial or
Federal Legislation as your current account. Failure to do so may cause a delay in the transfer of your account.
Spousal Accounts:
These types of plans may take 12 - 25 business days, as long as you ensure that the account opened at your new firm is opened as a Spousal account. Failure to do so may
cause a delay in your transfer.
RRIF Accounts:
RRIF account transfers may exceed regulatory time frames as the Delivering Institution is generally required to pay to the client the full year RRIF Minimum Payment. This
must be done before the transfer can be processed. Please ensure that there are sufficient funds in your RRIF account to cover the minimum payment to avoid a delay.
Types of Investment Products
Mutual Funds:
Currently, mutual fund products take longer to fully transfer, and may result in a possible delay into your new account, due to the requirement of re-registering the mutual fund
at the Fund Companies. On average mutual funds require 5 - 10 business days to transfer from the time the mutual fund power of attorney is received by the Receiving
Institution. If transferring prospectus qualified mutual funds that pay trailing commissions to a TD Direct Investing account, refer to the "Embedded Commission Ban" section
of TD Direct Investing Relationship Disclosure.
Guaranteed Investment Certificates & Term Deposits:
Generally, a Guaranteed Investment Certificate (GIC) is not transferable In-Kind (as is) prior to the maturity date. Most GIC's must be transferred In-Cash upon their
maturity. Please check the terms and conditions with the Institution which currently holds your investment. If your GIC matures in more than 6 months time, please submit
your transfer request one month prior to maturity.
Other Investment Products:
There are many other investment products which may be non-transferable, non-redeemable or subject to other delays. Some of these products include Mortgages, Foreign
Securities, Non-transferable Bonds (minimum denomination requirements).
Rejected Transfers:
An account transfer request may be rejected by the Delivering Institution for a number of reasons, such as, insufficient funds to cover fees, locked in confirmations required,
account not in good standing i.e. undermargin, short position(s), etc. If for any reason your transfer has been rejected by the Delivering Institution, they may return the transfer
to the Receiving Institution unprocessed. When the rejection has been rectified, the transfer process may begin again and the Delivering Institution may then have
approximately 10 business days from the date of receipt of the transfer document to process the transfer.
How much will it cost to transfer my account?
Transfer Fees:
Most institutions charge a transfer out fee of which the cost vary. You may also be subject to additional operating and transaction charges related to your transfer, such as
Deferred Sales Charges, Short-term trading fees, Early Redemption fees, etc. Please contact your delivering institution for further information. It is important to ensure that you
have sufficient funds available in your account at the delivering institution to cover your transfer and administration fees, as the delivering institution may reject the transfer
unprocessed, thus creating a lengthy delay.
Administration Fees:
Most Institutions charge Self-Directed Administration Fees of which the cost will vary. It is important to ensure that you have sufficient funds available in your account at the
Delivering Institution to cover transfer and administration fees, or the Delivering Institution may reject the transfer unprocessed, thus causing a lengthy delay.
Client / Head Office Transfer Dept. / Delivering Institution
595172 (0723)
