Step 2: Accredited Investor Info
You must meet one of the following categories to trade with Tradestone Markets. Unless otherwise approved, you must be a resident of Canada. Tradestone Markets will not take a legal position regarding your status as an accredited investor. If you are unsure of your status, Tradestone Markets recommends you seek legal advice regarding such status.
By checking the box below, you hereby certify that you are an accredited investor as defined under National Instrument 45-106 Prospectus and Registration Exemptions ("NI45-106") of the Canadian Securities Administrators in the category beside which your initials are placed and that all your transactions with Tradestone Markets will be as principal, and you agree to advise Tradestone Markets immediately of any change in such status, and in any event to confirm such status to Tradestone Markets (Canada) not less than annually upon request:
Please initial all appropriate categories and submit information required. You must select a minimum of one box to be eligible to trade.
Primary Applicant
Joint Applicant
a) a person registered under the securities legislation of a jurisdiction of Canada as an adviser or dealer, other than a person registered solely as a limited market dealer under one or both of the Securities Act (Ontario) or the Securities Act (Newfoundland and Labrador);
b) an individual registered or formerly registered under the securities legislation of a jurisdiction of Canada as a representative of a person referred to in paragraph (a);
c) an individual who, either alone or with a spouse, beneficially owns, directly or indirectly, financial assets (cash, securities, contracts of insurance, deposits and evidences of deposits that are not securities for the purposes of securities legislation) having an aggregate realizable value that before taxes, but net of any related liabilities, exceeds Cdn.$1,000,000;
d) an individual whose net income before taxes exceeded Cdn.$200,000 in each of the two most recent calendar years or whose net income before taxes combined with that of a spouse exceeded Cdn.$300,000 in each of the two most recent calendar years and who, in either case, reasonably expects to exceed that net income level in the current calendar year;
e) an individual who, either alone or with spouse, has net assets of at least Cdn.$5,000,000.
Next Step: Insider Info
Are you an "insider" of a public company? (e.g. are you a director or officer of a public company? Do you control 10% or more of the voting rights of a public company?)
Please provide Symbol, ISN or CUSIP# of Security & Exchange
Do you beneficially own, directly or indirectly, individually, or in combination with other persons, 20% or more of the voting rights of a public company?
Please provide Symbol, ISN or CUSIP# of Security & Exchange
Politically Exposed Foreign Persons
Tradestone Markets has a responsibility under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act to determine whether an account holder or individuals authorized to give instructions on the account are Politically Exposed Foreign Persons (PEFP).
A Politically exposed person is one who has held one of the following offices in or on behalf of the Government of Canada or a foreign state:
A head of State or head of government;
A member of the executive council of government or member of a legislature;
Deputy minister or equivalent rank;
Ambassador or attaché or counselor of an ambassador;
Military officer with rank of general or above;
President of a state owned company or a state owned bank;
Head of a government agency;
Judge; or
Leader or president of a political party represented in the legislature
Or a prescribed family member of such an individual including:
Spouse or common-law partner
Child
Mother or Father
Mother or Father of PEFP’s spouse or common law partner
Child of PEFP’s Mother or Father ( brother, sister, half brother, half sister)
Are you a Politically Exposed person as laid out above?
Please give details of the position you held and the state?
Are you a prescribed family member of a Politically Exposed person as laid out above?
Please give details of the position held by your family member, the state and your relationship to them.
Joint Applicant Insider Info
Step 3: Joint Applicant Insider Info
Are you an "insider" of a public company? (e.g. are you a director or officer of a public company? Do you control 10% or more of the voting rights of a public company?)
Please provide Symbol, ISN or CUSIP# of Security & Exchange
Do you beneficially own, directly or indirectly, individually, or in combination with other persons, 20% or more of the voting rights of a public company?
Please provide Symbol, ISN or CUSIP# of Security & Exchange
Politically Exposed Foreign Persons
Tradestone Markets has a responsibility under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act to determine whether an account holder or individuals authorized to give instructions on the account are Politically Exposed Foreign Persons (PEFP).
A Politically exposed person is one who has held one of the following offices in or on behalf of the Government of Canada or a foreign state:
A head of State or head of government;
A member of the executive council of government or member of a legislature;
Deputy minister or equivalent rank;
Ambassador or attaché or counselor of an ambassador;
Military officer with rank of general or above;
President of a state owned company or a state owned bank;
Head of a government agency;
Judge; or
Leader or president of a political party represented in the legislature
Or a prescribed family member of such an individual including:
Spouse or common-law partner
Child
Mother or Father
Mother or Father of PEFP’s spouse or common law partner
Child of PEFP’s Mother or Father ( brother, sister, half brother, half sister)
Are you a Politically Exposed person as laid out above?
Please give details of the position you held and the state?
Are you a prescribed family member of a Politically Exposed person as laid out above?
Please give details of the position held by your family member, the state and your relationship to them.
Next Step: Account Info
Step 6: Disclaimer & Risk Warning
This website (www.tradestonemarkets.com or the “Site”) should not be regarded as an offer or solicitation to conduct trading or advising in
securities, in any jurisdiction other than in Canada. Investors who are resident or citizens of countries other than the Canada may be subject
to local laws or regulations.
Accordingly investors resident outside of Canada should ensure they do not contravene local financial regulations before using this service
and may only proceed once they are satisfied that by doing so will not result in such a contravention. By continuing to access the Site it will be
taken as confirmation that this is not the case in your local jurisdiction.
The information on the Site does not constitute an offer to buy or sell securities. In particular, it does not constitute an offer or solicitation to
buy or sell any securities or products referred to on this site, by anyone in any jurisdiction in which such offer or solicitation would be unlawful
or in which the person making such offer or solicitation is not qualified to do so or to anyone to whom it is unlawful to make such offer or
solicitation.
We are not responsible for the accuracy of information contained on other sites provided by third parties that have links to or from the Site, nor
are they necessarily authorized and regulated by the Investment Industry Regulatory Organization of Canada (IIROC).
Acknowledgement & Consent
I represent that the information contained in this application form is true and accurate. I further acknowledge and confirm that should any
of the information contained in this Application Form or any supplemental information provided by me to Tradestone Markets change (in
particular, my status as an “insider” or "accredited investor") or ceases to be true and correct, I will notify Tradestone Markets immediately.
I acknowledge and confirm that prior to submitting this Application Form I have received copies of, read and understand this Account Opening
Form, Client Agreement (including the Terms and Conditions attached thereto), the Risk Disclosure Document and Website Disclaimer.
No Suitability Reviews: I acknowledge that I am solely responsible for my own investment decisions and that Tradestone Markets will not
provide any recommendations nor be responsible for making a suitability determination when accepting trades from me.
Order Execution Only Account: I acknowledge no investment advice or recommendation will be provided by Tradestone Markets regarding
the purchase or sale of any security. Tradestone Markets offers Order Execution Only accounts. All trading decisions are made by me and are
done so in reliance solely on my own judgment and at my own risk. I must rely on my own judgment and information before trading and, where
necessary, seek independent advice. It is my responsibility to be aware of all terms, conditions, rules and regulations that govern a market, an
underlying security, or CFD.
I consent to Tradestone Markets collecting, maintaining, using and disclosing my personal information about me and provided by me or by
another person in accordance with the Privacy Statement found on Tradestone Market’s website at www.tradestonemarkets.com. In addition,
background checks will also be conducted and may potentially include credit checks as in accordance to Anti-Money Laundering (AML)
regulations and requirements.
If you are a resident of the Province of Québec, you acknowledge requesting that this document, together with all other related
documentation, be provided to you in the English language only. Si je suis un résident de la province de Québec, je confirme avoir demandé
que le présent document, ainsi que tous les documents qui s’y rapportent, me soient remis en anglais seulement.
Next Step: Sign & Review Agreement
Step 7: Sign & Review Agreement
Your application is almost complete. Now it's time to review the client agreement and then digitally sign your application.
Clicking the below button will take you over to Agreement Express, the company we use for all of our online contracts.
Important please read carefully. During the next part of the application process you will need to either upload a scan or be able to fax a copy of the following documents to Tradestone Markets to be able to complete the application. Please make sure you have the scans available in your computer or access to a fax machine with the copies ready to go as this will save valuable time and avoid any frustration.
Copy of a void cheque drawn on the Canadian Chartered Bank account whose details you filled in, in section 4.2
Copy of the ID you have selected and whose details you filled in in section 1 of the application. We would like the Photo page of a passport, the photo side of Drivers License, Permanent residents card or Canadian Citizenship Card.
Please make sure the scan/fax are legible because if not this could slow down the application procedure.
Sign & Review Client Agreement
Generating Contract
