Separate agreements between the Client and the Custodian serve as content for this Appendix.
The Client is required to ensure that the applicable agreements are signed and approved with its Custodian either in advance of signing this Agreement or contemporaneous with signing this Agreement.
Subject to the Client Account being established with Interactive Brokers Canada Inc. as Custodian holding the Client’s assets, it is the Firm’s current understanding, without obligation and subject
to change, that the agreements between the Client and the Custodian to enable the Client Account are:
a) “Interactive Brokers Customer Agreement”; and
b) “Appointment Of Financial Advisor And Request To Send Trade Confirmations And Account Statements To Advisor”.
It is understood by the Client that Interactive Brokers Canada Inc. will also be acting as the sole broker-dealer, as clearing broker, and in a prime brokerage capacity on the Client Account as well as providing margin and leverage.
The Firm can commence acting as the discretionary portfolio manager of the Client Account once:
a) The agreements are in place, and the Firm has a copy thereof;
b) The account is made accessible by the Client and the Custodian to the Firm;
c) The Client Account is funded by the Client.
In the event Interactive Brokers Canada Inc. is the Custodian of the Client’s Account, the Client acknowledges having read the further disclosure regarding Interactive Brokers Canada Inc. that is set out in the Relationship Disclosure Statement contained at Appendix F to the Agreement.