Glossary

• CO - Compliance Officer
• CRA- Canada Revenue Agency
• DSC - Deferred Sales Charge
• FEL - Front End Load
• FINTRAC - Financial Transactions and Reports Analysis Centre of Canada
• FSC – Financial Services Commission
• FIC - Investment Funds Institute of Canada
• KYC - Know-Your-Client
• LOD - Letter of Direction
• LOI - Letter of Indemnity
• MFDA - Mutual Fund Dealers Association of Canada
• OBSI - Ombudsman for Banking Services and Investments
• OSC - Ontario Securities Commission
• PAC - Pre-Authorized Chequing
• PEFP - Politically Exposed Foreign Person
• SAFG - Strategic Alliance Financial Group Inc.
• SRO - Self-Regulatory Organization
• SWP - Systematic Withdrawal Plan