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:
- Direct Electronic Access client that is ineligible to obtain an LEI under GLEIF standards
- "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.
- 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 |