10761 Victoria Square Blvd., Suite 204, Markham, Ontario, Canada. L6C 1J3 Phone: 905-305-0400Page 1

09/04/2017

New Account Application/KYC Form (Multi Plan) Date: (mm/dd/yyyy) Client # New Account Account Update

OWNER INFORMATION

Title: Surname: First Name:

Date of Birth (mm/dd/yyyy) Social Insurance Number Marital Status # of Dependants

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

ID Verification Type ID Number Issue Place: Province/Country Issuing (mm/dd/yyyy)

Spouse Title: Spouse Surname: Spouse First Name:

Date of Birth (mm/dd/yyyy) Social Insurance Number

OWNER FINANCIAL INFORMATION:

Income Includes Spouse

Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+

Estimated Liquid Assets** Estimated Fixed Assets

Estimated Liabilities

Includes Spouse Yes No

Estimated Net Worth

Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/Sophisticated

PLAN INFORMATION (See last page for definitions):

Plan: ______________________________ Type: Description: Account Ownership: Individual Spousal Joint* In Trust ForTime Horizon: Less than one year 1-<3 years 3-<5 years 5-<10 years 10-<20 years 20 years or moreInvestment Objectives: ___% Safety % Income % Balanced % Growth %Aggressive Growth/Speculative Risk Tolerance: % Very Low % Low % Low/Medium % Medium %Med/High % High Beneficiary: Relationship: Beneficiary SIN #

Does anyone other than the applicant have a financial interest in this account? yes no Is this account leveraged? yes no Does anyone other than the applicant have trading authority in this account? yes no LTA form used? yes no Will the applicant be acting on the instructions of a third party when conducting or authorizing transactions on this account? yes no Does this plan pose a risk as it relates to AML? yes no Is anyone else authorized to give instructions on this plan? yes no

Joint Owner Info: Name: ___________________________________ SIN: _______________________ Date of Birth: ____________________ # of Dependants: _____

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Expiry (mm/dd/yyyy)

Yes No

10761 Victoria Square Blvd., Suite 204, Markham, Ontario, Canada. L6C 1J3 Phone: 905-305-0400Page 2

09/04/2017

Joint Owner Info: (Continued)

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

Income Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+ Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/SophisticatedEst. Liquid .Assets**

Est. Liabilities

Est. Fixed Assets

Est. Net Worth

PLAN INFORMATION

Plan: ______________________________ Type: Description: Account Ownership: Individual Spousal Joint* In Trust ForTime Horizon: Less than one year 1-<3 years 3-<5 years 5-<10 years 10-<20 years 20 years or moreInvestment Objectives: ___% Safety % Income % Balanced % Growth %Aggressive Growth/Speculative Risk Tolerance: % Very Low % Low % Low/Medium % Medium %Med/High % High Beneficiary: Relationship: Beneficiary SIN #

Does anyone other than the applicant have a financial interest in this account? yes no Is this account leveraged? yes no Does anyone other than the applicant have trading authority in this account? yes no LTA form used? yes no Will the applicant be acting on the instructions of a third party when conducting or authorizing transactions on this account? yes no Does this plan pose a risk as it relates to AML? yes no Is anyone else authorized to give instructions on this plan? yes no

Joint Owner Info: Name: ___________________________________ SIN: _______________________ Date of Birth: ____________________ # of Dependants: _____

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

Income Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+ Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/SophisticatedEst. Liquid .Assets**

Est. Liabilities

Est. Fixed Assets

Est. Net Worth

PLAN INFORMATION

Plan: ______________________________ Type: Description: Account Ownership: Individual Spousal Joint* In Trust ForTime Horizon: Less than one year 1-<3 years 3-<5 years 5-<10 years 10-<20 years 20 years or moreInvestment Objectives: ___% Safety % Income % Balanced % Growth %Aggressive Growth/Speculative Risk Tolerance: % Very Low % Low % Low/Medium % Medium %Med/High % High Beneficiary: Relationship: Beneficiary SIN #

Does anyone other than the applicant have a financial interest in this account? yes no Is this account leveraged? yes no Does anyone other than the applicant have trading authority in this account? yes no LTA form used? yes no Will the applicant be acting on the instructions of a third party when conducting or authorizing transactions on this account? yes no Does this plan pose a risk as it relates to AML? yes no Is anyone else authorized to give instructions on this plan? yes no

* If Joint owner address is different than above an address form must be included with new account openings and address updates.

** Estimated liquid assets should include cash and open investments and should exclude registered investments.

** Estimated liquid assets should include cash and open investments and should exclude registered investments.* If Joint owner address is different than above an address form must be included with new account openings and address updates.

10761 Victoria Square Blvd., Suite 204, Markham, Ontario, Canada. L6C 1J3 Phone: 905-305-0400Page 3

09/04/2017

Joint Owner Info: Name: ___________________________________ SIN: _______________________ Date of Birth: ____________________ # of Dependants: _____

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

Income Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+ Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/SophisticatedEst. Liquid .Assets**

Est. Liabilities

Est. Fixed Assets

Est. Net Worth

PLAN INFORMATION

Plan: ______________________________ Type: Description: Account Ownership: Individual Spousal Joint* In Trust ForTime Horizon: Less than one year 1-<3 years 3-<5 years 5-<10 years 10-<20 years 20 years or moreInvestment Objectives: ___% Safety % Income % Balanced % Growth %Aggressive Growth/Speculative Risk Tolerance: % Very Low % Low % Low/Medium % Medium %Med/High % High Beneficiary: Relationship: Beneficiary SIN #

Does anyone other than the applicant have a financial interest in this account? yes no Is this account leveraged? yes no Does anyone other than the applicant have trading authority in this account? yes no LTA form used? yes no Will the applicant be acting on the instructions of a third party when conducting or authorizing transactions on this account? yes no Does this plan pose a risk as it relates to AML? yes no Is anyone else authorized to give instructions on this plan? yes no

Joint Owner Info: Name: ___________________________________ SIN: _______________________ Date of Birth: ____________________ # of Dependants: _____

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

Income Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+ Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/SophisticatedEst. Liquid .Assets**

Est. Liabilities

Est. Fixed Assets

Est. Net Worth

** Estimated liquid assets should include cash and open investments and should exclude registered investments.* If Joint owner address is different than above an address form must be included with new account openings and address updates.

** Estimated liquid assets should include cash and open investments and should exclude registered investments.* If Joint owner address is different than above an address form must be included with new account openings and address updates.

10761 Victoria Square Blvd., Suite 204, Markham, Ontario, Canada. L6C 1J3 Phone: 905-305-0400 Page 4

09/04/2017

PLAN INFORMATION

Plan: ______________________________ Type: Description: Account Ownership: Individual Spousal Joint* In Trust ForTime Horizon: Less than one year 1-<3 years 3-<5 years 5-<10 years 10-<20 years 20 years or moreInvestment Objectives: ___% Safety % Income % Balanced % Growth %Aggressive Growth/Speculative Risk Tolerance: % Very Low % Low % Low/Medium % Medium %Med/High % HighBeneficiary: Relationship: Beneficiary SIN #

Does anyone other than the applicant have a financial interest in this account? yes no Is this account leveraged? yes no Does anyone other than the applicant have trading authority in this account? yes no LTA form used? yes no Will the applicant be acting on the instructions of a third party when conducting or authorizing transactions on this account? yes no Does this plan pose a risk as it relates to AML? yes no Is anyone else authorized to give instructions on this plan? yes no

Joint Owner Info: Name: ___________________________________ SIN: _______________________ Date of Birth: ____________________ # of Dependants: _____

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

Income Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+ Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/SophisticatedEst. Liquid .Assets**

Est. Liabilities

Est. Fixed Assets

Est. Net Worth

PLAN INFORMATION

Plan: ______________________________ Type: Description: Account Ownership: Individual Spousal Joint* In Trust ForTime Horizon: Less than one year 1-<3 years 3-<5 years 5-<10 years 10-<20 years 20 years or moreInvestment Objectives: ___% Safety % Income % Balanced % Growth %Aggressive Growth/Speculative Risk Tolerance: % Very Low % Low % Low/Medium % Medium %Med/High % HighBeneficiary: Relationship: Beneficiary SIN #

Does anyone other than the applicant have a financial interest in this account? yes no Is this account leveraged? yes no Does anyone other than the applicant have trading authority in this account? yes no LTA form used? yes no Will the applicant be acting on the instructions of a third party when conducting or authorizing transactions on this account? yes no Does this plan pose a risk as it relates to AML? yes no Is anyone else authorized to give instructions on this plan? yes no

Joint Owner Info: Name: ___________________________________ SIN: _______________________ Date of Birth: ____________________ # of Dependants: _____

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

** Estimated liquid assets should include cash and open investments and should exclude registered investments.* If Joint owner address is different than above an address form must be included with new account openings and address updates.

10761 Victoria Square Blvd., Suite 204, Markham, Ontario, Canada. L6C 1J3 Phone: 905-305-0400Page 5

09/04/2017

Joint Owner Info: (Continued)

Income Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+ Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/SophisticatedEst. Liquid .Assets**

Est. Liabilities

Est. Fixed Assets

Est. Net Worth

PLAN INFORMATION

Plan: ______________________________ Type: Description: Account Ownership: Individual Spousal Joint* In Trust ForTime Horizon: Less than one year 1-<3 years 3-<5 years 5-<10 years 10-<20 years 20 years or moreInvestment Objectives: ___% Safety % Income % Balanced % Growth %Aggressive Growth/Speculative Risk Tolerance: % Very Low % Low % Low/Medium % Medium %Med/High % High Beneficiary: Relationship: Beneficiary SIN #

Does anyone other than the applicant have a financial interest in this account? yes no Is this account leveraged? yes no Does anyone other than the applicant have trading authority in this account? yes no LTA form used? yes no Will the applicant be acting on the instructions of a third party when conducting or authorizing transactions on this account? yes no Does this plan pose a risk as it relates to AML? yes no Is anyone else authorized to give instructions on this plan? yes no

Joint Owner Info: Name: ___________________________________ SIN: _______________________ Date of Birth: ____________________ # of Dependants: _____

Address: Street City/Town Prov. Postal Code Country

Home Phone: Cell Phone: Email:

Employer: Type of business: Occupation:

Address: Street City/Town Prov. Postal Code

Income Under $25,000 25,000-49,999 50,000-74,999 75,000-99,000 100,000-124,999 125,000-199,999 200,000-999,999 1 Million+ Investment Experience: Bonds Mortgages Stocks Mutual Funds Term Deposits Real Estate None

Investment Knowledge: Novice Limited/Fair Moderate/Good Extensive/SophisticatedEst. Liquid .Assets**

Est. Liabilities

Est. Fixed Assets

Est. Net Worth

** Estimated liquid assets should include cash and open investments and should exclude registered investments.* If Joint owner address is different than above an address form must be included with new account openings and address updates.

** Estimated liquid assets should include cash and open investments and should exclude registered investments.* If Joint owner address is different than above an address form must be included with new account openings and address updates.

no yes

Joint Owner (If applicable)

Are you a foreign resident for tax purposes?

Are you a foreign resident for tax purposes?

If answer YES to the above, please include a copy of completed Declaration of Tax Residence for Individual or Declaration of Tax Residence for Entities (as applicable).

FATCA / CRS InformationPlease see Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS) for additional information. Owner

If Yes, please provide: Tax Residence Country TIN

no yes Tax Residence Country TINIf Yes, please provide:

10761 Victoria Square Blvd., Suite 204, Markham, Ontario, Canada. L6C 1J3 Phone: 905-305-0400 Page 6

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Politically Exposed Person or Head of International OrganizationPlease see Politically Exposed Person / Head of International Organization for additional information and definitions.

OwnerAre you a domestic Politically Exposed Person (PEP)?

If Yes, please provide detailsAre you a foreign Politically Exposed Person (PEP)?

If Yes, please provide detailsAre you the Head of an International Organization (HIO)?

If Yes, please provide detailsJoint Owner (If applicable)

Are you a domestic Politically Exposed Person (PEP)? If Yes, please provide details

Are you a foreign Politically Exposed Person (PEP)? If Yes, please provide details

Are you the Head of an International Organization (HIO)? If Yes, please provide details

DEFINITIONS:

Who is a foreign PEP?A foreign PEP is a person who holds or has held one of the following offices or positions in or on behalf of a foreign state: head of state or head of government;•

•••

member of the executive council of government or member of a legislature; deputy minister or equivalent rank; ambassador, or attaché or counsellor of an ambassador;

• military officer with a rank of general or above; president of a state-owned company or a state-owned bank;• head of a government agency;• judge of a supreme court, constitutional court or other court of last resort; or• leader or president of a political party represented in a legislature.•

These persons are foreign PEPs regardless of citizenship, residence status or birth place. A person determined to be a foreign PEP, is forever a foreign PEP.

Who is a domestic PEP?A domestic PEP is a person who holds — or has held within the last 5 years — a specific office or position in or on behalf of the Canadian federal government, a Canadian provincial government, or a Canadian municipal government: Governor General, lieutenant governor or head of government;•

•••

member of the Senate or House of Commons or member of a legislature; deputy minister or equivalent rank; ambassador, or attaché or counsellor of an ambassador;

• military officer with a rank of general or above;•••

president of a corporation that is wholly owned directly by Her Majesty in right of Canada or a province; head of a government agency; judge of an appellate court in a province, the Federal Court of Appeal or the Supreme Court of Canada;

• leader or president of a political party represented in a legislature; or• mayor.

no yes

no yes

no yes

no yes

no yes

no yes

Who is a head of an international organization?The head of an international organization is a person who is either: the head of an international organization established by the governments of states; or•

• the head of an institution established by an international organization.

When we refer to the head of an international organization or the head of an institution established by an international organization we are referring to the primary person who leads that organization, for example a president or CEO. Once a person is no longer the head of an international organization or the head of an institution established by an international organization, that person is no longer a HIO.

Who is considered to be the family member of a PEP or a HIO?If a person is a foreign PEP, domestic PEP or HIO, then certain family members must also be regarded as PEPs or HIOs. These family members are: their spouse or common-law partner;• their child;• their mother or father;•

• the mother or father of their spouse or common-law partner; and• a child of their mother or father (sibling).

TIME HORIZON: Indicate the period from now to when you will need to access a significant portion of the money you invest in this account. INVESTMENT OBJECTIVES: Safety: Your objective is to preserve your principal investment and are less concerned with capital appreciation. Investors seeking safety of principle should be invested in securities that provide a guaranteed investment/par value at maturity such as cash, GICs, and money market and government debt instruments. Income: Your objective is to generate current income from your investments and you are less concerned with capital appreciation. Investments that will satisfy this objective include fixed income investments such as funds that invest in bond or money market instruments. Balanced: Your objective is a combination of income and growth. An account with a balanced objective should typically include at least 40% in fixed income investments and no more than 60% in equity mutual funds. Growth: Your objective is capital appreciation and current income from investments is not a requirement. This may lead you to hold a relatively high proportion of funds that invest in equities if you also have a higher risk tolerance and long term time horizon. Aggressive Growth: Your objective is capital appreciation and current income from investments is not a requirement. This may lead you to hold a relatively high proportion of funds that invest in specific market sectors like Energy, Technology, Resource funds, etc. that are typically much more volatile and the price of which can fluctuate significantly over short time frames. Typically this type of investment requires a high tolerance for risk and a long term investment time horizon.

10761 Victoria Square Blvd., Suite 204, Markham, Ontario, Canada. L6C 1J3 Phone: 905-305-0400

Page 7 09/04/2017

DECLARATION:

INVESTORS ACKNOWLEDGEMENT: I hereby acknowledge that the information provided above is true and correct.

I acknowledge that Equity Associates Inc. in its capacity as a licensed Mutual fund dealer has provided a leverage disclosure document, a general Disclosure document, and a signed copy of this application.

PARTNER ACKNOWLEDGEMENT: The undersigned hereby acknowledges that he/she in their capacity as a professional in the financial services industry and as an AGENT for Equity Associates Inc. has satisfied him/herself to the best of their ability as to the validity of the above disclosed client information.

Owner Signature Date (mm/dd/yyyy) Joint Owner Signature Date (mm/dd/yyyy) Plan#

Joint Owner Signature Date (mm/dd/yyyy) Plan# Joint Owner Signature Date (mm/dd/yyyy) Plan#

Joint Owner Signature Date (mm/dd/yyyy) Plan# Joint Owner Signature Date (mm/dd/yyyy) Plan#

Advisor Name Code Advisor Signature Date (mm/dd/yyyy)

DEFINITIONS:

RISK TOLERANCE: This section documents your willingness and ability to assume risk and should reflect the relative weighting of the types of investments you wish to hold in the account. The value of the investments we recommend should not exceed your stated thresholds. Very Low: The very low risk rating applies to investors who are risk averse and are willing to accept lower returns in order to preserve their principal. Investments under the lowest risk rating include assets with low volatility including cash and equivalents, Canada Savings Bonds, and non-indexed GICs Low: Low risk investments demonstrate a low volatility and are for investors who are willing to accept lower returns for greater safety of capital and may include such investments as Canada Savings Bonds, GICs and Money Market Mutual Funds. Low to Medium: Low to Medium risk investments demonstrate a low to medium volatility but a higher volatility than those described above and may include bond or balanced funds. Medium: Medium risk investments demonstrate a medium volatility and are for investors that are looking for moderate growth over a Longer period of time and may include Canadian dividend, Canadian equity, U.S. equity and certain international equity funds. Medium to High: Medium to High risk investments demonstrate a medium to high volatility and are for investors that are looking for long term growth and may include funds that invest in smaller companies, specific market sectors or geographic areas. High: High risk investments demonstrate a high volatility and are for investors who are growth oriented and are willing to accept Significant short term fluctuations in portfolio value in exchange for potentially higher long term returns and may include labour-sponsored venture capital funds or funds that invest in specific market sectors or geographic areas such as emerging markets, science and technology, or funds that engage in speculative trading strategies including hedge funds that invest in derivatives, short sell or use leverage. Trust Account: Any interest earned on the monies held in trust is not attributed to the client and is retained by Equity Associates Inc.