APPLICATION FOR ANNUAL CERTIFICATE
APPENDIX1: SUMMARY SHEET QIFT 7.01

QIFT 7.01

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Trading in outstanding securities or securities distribution[1]

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From:

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To:

Taxation year covered

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IFC certificate number

A) If, during the taxation year covered by this application, the IFC engaged in trading in outstanding securities or securities distribution, check the following box:
B) More specifically, indicate the sub-categories of QIFTs carried out by the IFC:
Trading in outstanding securities[2]
Securities distribution
C) Indicate which of the following sub-categories of QIFTs were carried out by the IFC[3]:
Trading in outstanding securities executed: / Securities distribution carried out for or on behalf of [4]:
As an intermediary in the negotiation, for a person who did not reside in Canada / A foreign entity
As an intermediary in the negotiation, for a person who resided in Canada, in relation to a qualified security / The government of Canada or of a province or for a Canadian corporation, with a person who did not reside in Canada
As a principal, in relation to a qualified security
As a principal, in relation to a Canadian debt security
D) For each of the following sub-categories of QIFTs, indicate the types of securities covered by the transactions of the IFC:
Securities / Trading in outstanding securities / Securities distribution4
Shares
Money market
Fixed-income securities
Derivatives (options, futures contracts, SWAPs, etc.)
Other form of investment determined by regulation
If you answered “Other form of investment determined by regulation”for any sub-category of QIFT, specify the types of securities covered by the transactions of the IFC:

QIFT 7.01 Application for Annual Certificate (October 2015)1 of 2

APPLICATION FOR ANNUAL CERTIFICATE

APPENDIX1: SUMMARY SHEET QIFT 7.01

E) If you declared in section C) that you carried out securities distribution activities, give a short description of the main securities distribution transactions executed for your clients during the taxation year covered by this application:
Name of client
Location of client
Description of the distribution of securities: purpose of the distribution, type of security, amount, currency, name and provenance of investors, etc.
Name of client
Location of client
Description of the distribution of securities: purpose of the distribution, type of security, amount, currency, name and provenance of investors, etc.
Name of client
Location of client
Description of the distribution of securities: purpose of the distribution, type of security, amount, currency, name and provenance of investors, etc.
Name of client
Location of client
Description of the distribution of securities: purpose of the distribution, type of security, amount, currency, name and provenance of investors, etc.
Name of client
Location of client
Description of the distribution of securities: purpose of the distribution, type of security, amount, currency, name and provenance of investors, etc.

If more space is required, append a document with the additional information and indicate the number of the summary sheet.

QIFT 7.01 Application for Annual Certificate (October 2015)1 of 2

[1] An investment dealer who carried out discretionary management activities for his clients must apply for a certificate to that effect by completing summary sheet QIFT 7.03.

[2]The loan of securities (REPO) constitutes a trading activity on outstanding securities.

[3]In accordance with the conditions stipulated in section 8 of theAct respecting international financial centres (CQLR, chapter C-8.3).

[4]If you carried out securities distribution activities, you must complete section E.