20. A listing and access to all personal trading accounts of key
personnel of the Registrant and family members who live in
the same household.
Financial Condition and Custody
21. A copy of the Registrant’s financial statements dated as at
the end of the most recent fiscal year and as at the end of the
22. A copy of the financial statements of the issuer(s) of product(s)
distributed by the Registrant dated as at the end of the most
recent fiscal year and as at the end of the review period.
23. A copy of the most recent monthly capital calculation and
those for the review period.
24. A copy of the current bonding certificate of renewal.
25. Access to monthly financial statements, trial balance, and
general ledger for the review period.
26. Access to bank statements, deposit books, cancelled
cheques and bank reconciliations for all trust accounts of the
Registrant for the review period.
27. If the Registrant, its related persons or affiliates have custody
or possession of, or access to any client funds or securities,
a list which includes the names of all such clients, the current
market value of all assets in possession or to which the
Registrant has access, and the location(s) where such assets
are held or the name(s) of the firms holding them.
28. A copy of any written safe keeping agreement the Registrant
has with any third parties.
Know Your Client (KYC) and Suitability
29. Where applicable, a list of prospectus exempt and
non-prospectus exempt securities.
30. Registrant’s trading blotter for the review period, which
lists transactions executed in prospectus exempt and
non-prospectus exempt securities for all clients. If possible,
provide the information in chronological order with the
following fields of data:
(a) Type of transaction (i.e. buy/sell)
(b) Security name
(c) Transaction date
(d) Number of shares/units
(e) Principal dollar amount
(f) Total commission/fee
(g) Client name/account number