Appendix A – DEA & OES Notice Form

Form for Identification of Direct Electronic Access Client (DEA), Active Order Execution Only Client, or Registered Adviser/Foreign Adviser Equivalent

(Please submit via ShareFile)

Instructions:

If you used a Legal Entity Identifier (LEI) on orders sent to a marketplace, you do not need to complete this form.

If you did not use an LEI on orders sent to a marketplace, please use this form to report:

  1. Direct Electronic Access client that is ineligible to obtain an LEI under GLEIF standards
  2. "Active" order execution only (OEO) client whose trading activity on marketplaces regulated by IIROC exceeds a daily average of 500 orders per trading day in any calendar month.
  3. Adviser or foreign adviser equivalent that either holds an OEO account, or has control over /manages an OEO account.


Tab 1 – DEA Client

Information about Submitter Information about DEA client
Name of individual filing this report Name of Participant Participant Number Name of DEA client Client Account Number provided on order (Tag 8025) Addition/
Modification /
 Deletion
Effective Date
             


Tab 2 – Active OEO Client

Information about Submitter Information about "Active" OEO client
Name of individual filing this report Name of submitter's Dealer Member If submitter is filing on behalf of OEO Dealer other than themselves: Name of OEO Dealer Name of OEO client Client Account Number provided on order (Tag 8025) Addition/
Modification /
 Deletion
Effective Date
             


Tab 3 – Adviser or Foreign Adviser Equivalent

Information about Submitter If the adviser or foreign adviser equivalent is the OEO client: If the adviser or foreign adviser equivalent manages an OEO account: Type of Change and Effective Date
Name of individual filing this report Name of submitter's Dealer Member If submitter is filing on behalf of OES Dealer other than themselves: Name of OES Dealer Name of OEO client Client Account Number provided on order
(Tag 8025)
Name of adviser or foreign adviser equivalent Adviser/Foreign Adviser Equivalent's Unique Identifier on order (Tag 1) Addition/
Modification /
 Deletion
Effective Date