Timothy Ross's Posts (522)

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Common Questions KYC

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Mr/Ms
First Name *
Last Name *
Household *
Address Line 1 *
Address Line 2 *
City / Town *
State / County / Province *
Zip / Postal Code *
Country
Phone *
Phone 2 *
Phone 3
Email *
Date of Birth *
SIN *
Marital Status*
# of Children *
Spouse's Full Name *
Spouse's Employer Information *
Employer *
Type of Business *
Employer Address *
Occupation *
Position *
Start Date
Bank Name
Bank Transit / Institution #
Account #
Bank Address
Trading Authorization
Single, Trust or Joint
Salary *
Bonus
Commission *
Investment Income
Dividend
CPP-OAS-QPP *
Retirement income *
Child Support *
Other
Cash-Chequing Acct *
Savings Acct *
RSP *
RIF *
LIRA *
TFSA *
RESP *
DPSP *
Other Liquid Assets
Home (Market Value) *
Business *
Real Estate *
Rental Properties *
Insurance cash value *
Jewelry-Collectibles *
Boat *
Cottage *
Vehicle *
Land *
Other Fixed Assets *
Principle residence *
Business *
Real Estate *
Rental property *
Vehicle *
Personal line of credit *
Auto loan *
Car lease *
Credit Card *
Tax owing *
Other Liabilities *
Total Liquid Assets
Total Fixed Assets
Total Liabilities
Objective - Income % *
Objective - Growth % *
Objective - Aggressive % *
Risk - Low *
Risk - Medium *
Risk - High *
Investment time frame*
Investment Knowledge*
Referred by *
Have you met face to face?*
How long have you known the client? *
Is the advisor registered in client's province of residence?
Joint tenants with rights of survivorship and not as tenant in common
Tenants in common without the right of survivorship
Are you a snr officer or director of a public trading company?
Do you, alone or as part of a group, hold or control any such company?
Have you authorized anyone to use discretion in handling your account?
Regulatory\Anyone else have any authority over the acct?
Anyone else have any financial interest in the acct?
Anyone else guarantee this acct?
Is this acct used by or on behalf of a 3rd party?
Do you have direct or indirect interest in the acct other than commission?
Are you or spouse employee,Dir,Prtnr or Offcr of a dealer,StockExch or IIROC?
Do you trade or intend to trade with other investment firms?
Do you have any other accounts with our firm?
Are you or someone close a Head of State, Ambassador, etc. for a foreign State?
Margin & Leverage disclosure form completed & signed
Leverage approval template
Leverage risk disclosure form
Has money been borrowed to invest
How much money has been borrowed to invest
Date of loan
ID #1 - Type
ID #1 - ID Number
ID #1 - Place of Issuance
ID #1 - Expiry Date
ID #2 - Type
ID #2 - ID Number
ID #2 - Place of Issuance
ID #2 - Expiry Date
Account Application Information & KYC\Account #1 Profile\Account #
Account Application Information & KYC\Account #1 Profile\Account Type
Account Application Information & KYC\Account #2 Profile\Account #
Account Application Information & KYC\Account #2 Profile\Account Type
Account Application Information & KYC\Account #2 Profile\Objective\Objective - Income %
Account Application Information & KYC\Account #2 Profile\Objective\Objective - Growth %
Account Application Information & KYC\Account #2 Profile\Objective\Objective - Aggressive %
Account Application Information & KYC\Account #2 Profile\Risk Tolerance\Risk - Low %
Account Application Information & KYC\Account #2 Profile\Risk Tolerance\Risk - Medium %
Account Application Information & KYC\Account #2 Profile\Risk Tolerance\Risk - High %
Account Application Information & KYC\Account #2 Profile\Investment Time Frame\Investment Time Frame
Account Application Information & KYC\Account #2 Profile\Investment Time Frame\Investment Knowledge
Account Application Information & KYC\Account #3 Profile\Account #
Account Application Information & KYC\Account #3 Profile\Account Type
Account Application Information & KYC\Account #3 Profile\Objective\Objective - Income %
Account Application Information & KYC\Account #3 Profile\Objective\Objective - Growth %
Account Application Information & KYC\Account #3 Profile\Objective\Objective - Aggressive %
Account Application Information & KYC\Account #3 Profile\Risk Tolerance\Risk - Low %
Account Application Information & KYC\Account #3 Profile\Risk Tolerance\Risk - Medium %
Account Application Information & KYC\Account #3 Profile\Risk Tolerance\Risk - High %
Account Application Information & KYC\Account #3 Profile\Investment Time Frame\Investment Time Frame
Account Application Information & KYC\Account #3 Profile\Investment Time Frame\Investment Knowledge
WME_Client Information\Primary Advisor
WME_Client Information\IA Code
WM_KYC etc.\Balance Sheet\Liquid\Open
WM_KYC etc.\Balance Sheet\Fixed\RSP Spousal
WM_KYC etc.\Account #2\Leverage\Has money been borrowed to invest
WM_KYC etc.\Account #2\Leverage\How much money has been borrowed to invest
WM_KYC etc.\Account #2\Leverage\Date of Loan
WM_KYC etc.\Account #3\Leverage\Has money been borrowed to invest
WM_KYC etc.\Account #3\Leverage\How much money have been borrowed to invest
WM_KYC etc.\Account #3\Leverage\Date of Loan

 

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Year End 2019

PEAK Disclosure - Click to reflect

Searched for wages and up came the 2018 year end

https://improvingfutures.ning.com/blog/year-end-2018-from-the-new-york-times

so wages is a good gauge to link in here, lets get a start on the year end, teh months seem to fly by

 

Wages in your industry, here is some data 

https://www.fastcompany.com/90437341/how-does-your-salary-compare-to-the-rest-of-the-industry-this-chart-shows-you

 

Some Trump Trudeau meet early Dec 2019

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Some Tips To Retire Better

 PEAK Disclosure - Click to Study

Great article I recieved from an advisor in the states that I follow, Kevin is a premier wealth advisor in Northborough, MA and provides soem wonderful insight on concerns that come up with our neighbours in the USA

http://www.peakfs.com.advisor.news/what-to-do-now-to-retire-better/?c=eyJ0eXAiOiJKV1QiLCJhbGciOiJIUzI1NiJ9.eyJub2RlX2lkIjo1ODcsInByZXZpZXciOmZhbHNlLCJjb21tX2lkIjoxNjczNDY0LCJkZXN0X2lkIjoyNDA1OTY0fQ.ubX3Ny94wzUyzSIdAJLRev73cSUezUBipOy-S7tEZAE

 

 I have broken the age bracks down in the comment section for quick check list, build on each year

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Mobilizing Finance for Sustainable Growth

 PEAK Disclosure - Click to Study

 

Letter to Prime Minister

 

Mobilizing Finance for Sustainable Growth

https://www.canada.ca/en/environment-climate-change/services/climate-change/expert-panel-sustainable-finance.html?utm_campaign=not-applicable&utm_medium=vanity-url&utm_source=canada-ca_sustainable-finance

 

https://www.canada.ca/en/services/environment/weather/climatechange/climate-action.html

 

Interesting the Business Wire is part of Berkshire Hathaway Group, aka Warren Buffett

https://www.businesswire.com/news/home/20190614005273/en/Canadian-Investors-Endorse-Sustainable-Finance

 

The Expert Panel’s report includes fifteen recommendations to support the growth and development of sustainable finance in Canada. Sustainable finance refers to capital flows, risk management activities, and financial processes that incorporate environmental and social factors as a means of promoting sustainable economic growth and the long-term stability of the financial system.1

The report has been welcomed by the Responsible Investment Association, a network of financial professionals and investment organizations representing more than C$12 trillion in assets under management.

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Online Safety

Peak Disclosure For Your Review

https://improvingfutures.ning.com/blog/peak-dealership-representative-disclosure?context=featured

 

got this email this morning on keeping our kids safe online. Cyber security is a big concern for us so going to start this posting here. Be sure and check the comment section for addition resources that I will be finding and posting there. Be sure to add resources that you discover as well. 

Let's start with parenting and protecting our kids. Helicopter Parenting 

https://www.fatherly.com/love-money/helicopter-parenting-is-the-only-way-to-keep-kids-safe-on-the-internet/?utm_source=postup&utm_medium=email&utm_campaign=52807&recip_id=1052748

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Branding for sizzle

PEAK Disclosure click to review our branding

 

https://www.visualcapitalist.com/technology-companies-eating-brand/

 

Today at the charity law conference with Carters Law we enjoyed an awesome presentation on branding, the nitty gritty of branding, trademarks, and registration changes that have come into effect for Canada.

I invested in the updated bible of the legal craft as well. 

 

3702421359?profile=RESIZE_710x

 

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Nov 6 #ShowYour4HColours

PEAK Disclosure - click for colours
https://improvingfutures.ning.com/blog/peak-dealership-representative-disclosure?context=featured

Please always check out the comment section of my blogs, these are located below, there you will find the rest of the story , additional research and information, please also add your own comments when you can, or find relevant stories, build, learn, share.

 

https://www.showyour4hcolours.ca/

Nov 6 #ShowYour4HColours

@4HCanada

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