Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations

29 A securities dealer shall keep the following records in respect of every account that they open:

• (a) every signature card;

• (b) a record for each account holder and every other person — up to three, in the case of a business account — who is authorized to give instructions in respect of the account, containing their name and address, the nature of their principal business or their occupation and, in the case of a person, their date of birth;

• (c) if an account holder is a corporation, a copy of the part of its official corporate records that contains any provision relating to the power to bind the corporation in respect of the account;

• (d) a record that sets out the intended use of the account;

• (e) a record of every application in respect of the account;

• (f) every account operating agreement that they create or receive in respect of the account;

• (g) every confirmation of purchase or sale, guarantee, trade authorization, power of attorney and joint account agreement and all correspondence that pertains to the operation of the account; and

• (h) a copy of every account statement that they send to an account holder.