Compliance Memo

Compliance Memorandum 2014-03; Limited Trading Authorization Form

For more information, contact:

Compliance Team

Date Issued:

May 28, 2014

The Limited Trading Authorization Form (“LTA”) has been amended to allow for the setting up or modification of a Pre-Authorized Cheque (PAC) plan or Systematic Withdrawal Plan (SWP) for an account holder.

Using any of these additional options will require a new LTA Form be signed by the account holder prior to executing any of the new options. The existing LTA on file for an account holder remains valid however it will continue to be limited to the pre-existing allowable transactions.

Please refer to MFDA Bulletin 0589-P which includes the IFIC Guidelines for the use of a Limited Trading Authorization Form. The updated LTA can be downloaded or reviewed on your secured personal website by going to the “Resource” tab and clicking on “GP Wealth Forms” or by going to the “Backoffice” tab and clicking on “Apps & Forms”.

As always, if you have any questions or comments, contact the Compliance Department by email at