Requirements for Opening An Account

Individual

• Signed WISE Investor Application Form including full names, date of birth, identification, country of birth, country of citizenship and occupation/profession and signatures of principal and all joint holders (if any)
• Copies of two (2) valid forms of government issued identification for the principal holder and each joint holder (if any) as well as any person(s) identified as giving instructions on the account if different from the holder(s)
• Copy of a utility bill for the home address provided on the Application Form (Residents of Trinidad and Tobago only)
• Third Party Statement
• A referral letter from the individual's major banker (where individual resides outside of Trinidad and Tobago)
• WISE Indemnity for Electronic Instructions in duplicate for clients who wish to give instructions via electronic media (fax or email)

Local Trading Account

In addition to the above, the following is also required to open a local trading account:

• Signed WISE Stockbroker's Agreement in duplicate (where individuals wish to invest in local equities)
• Signed WISE Bond Agreement in duplicate (where individuals wish to invest in local fixed income)

Foreign Trading Account

In addition to the above, the following is also required to open a foreign trading account:

• Signed Pershing New Account Form
• Signed W-8 BEN Foreign Tax Form for each account holder
• Signed WISE Agency Agreement in duplicate

Disclaimer: Additional documents may also be required

Corporate

• A WISE Investor Application Form signed by any valid account opening authority, including full names, date of birth, identification, country of birth, country of citizenship and occupation/profession of all Directors and specimen signatures of two (2) Directors
• Copies of two (2) valid forms of government issued identification and utility bills for all Directors and Officers of the Company, shareholders who hold greater than 10% of the paid up capital and authorized signatories
• Certificate of Incorporation, Continuance and Articles of Association (duly notarized where such body is incorporated outside the Jurisdiction)
• The most recent (no later than the previous year's) annual return filed with the Registrar, (duly notarized where such corporate body is incorporated outside of the Jurisdiction)
• The name/s and address/es of the beneficial owner/s and/or the person/s on whose instructions the signatories to the account are empowered to act
• Company By-Laws
• Board resolution sanctioning the opening of the account and conferring authority on the signatories to the account
• Copies of Powers of Attorney or other authorities given by the Directors in relation to the company
• A signed Director's statement as to the nature of the company's business
• Audited or Management accounts for the previous three years (where applicable)
• Third Party Statement
• A referral letter from the entity's major banker (where the entity resides outside of Trinidad and Tobago)

Local Trading Account

In addition to the above, the following is also required to open a local trading account:

• Signed WISE Stockbroker's Agreement in duplicate (where corporations wish to invest in local equities)
• Signed WISE Bond Agreement in duplicate (where corporations wish to invest in local fixed income)

Foreign Trading Account

In addition to the above, the following is also required to open a foreign trading account:

• Signed Pershing New Account Form including Corporate/Business ID Number, Country and Formation date
• Pershing Corporate Resolution Form conferring authority on the signatories to the account. The Secretary executing this certificate cannot be one of those authorized to act. If an authorized officer is also the Company Secretary, a notarized statement to that effect must be added to the Form.
• Signed W-8 BEN Foreign Tax Form for the corporation signed by one of the authorized signatories
• Signed WISE Agency Agreement in duplicate

Disclaimer: Additional documents may also be required

WISE Local Equity Commission Schedule

All Sales Charges are quoted in TT Dollars and subject to change at any time

Transaction Amount	Commission Rate
Minimum Charge	$150.00 per trade
$0 to $50,000	1.50% per trade
$50,001 to $100,000	1.25% per trade
$100,001 & over	1.00% per trade
Nominal Transfers	$50.00

Trinidad and Tobago Stock Exchange Fees

Transaction Charge

0.15% per trade or minimum $1.00

Trinidad and Tobago Central Depository Fees

Pledges	0.01% of current market value of the share as at the date the pledge was signed or minimum $20.00
Transfers (Other than Pension Plans & Nominee Accounts)	$20.00 per company
Deposits	$20.00 per company
Withdrawals	$20.00 per company

Transfer of Shares — Nominee Accounts and Pension Plans

Range	Percentage	Fees
First $50,000	0.25%	$125.00
Next $50,000	0.20%	$100.00
Next $100,000	0.15%	$150.00
Next $500,000	0.10%	$500.00
Next $1,000,000	0.05%	$500.00
Over $1,000,000	0.02%	$1,000.00

WISE International Commission Schedule

All Sales Charges are quoted in US Dollars and subject to change at any time

US STOCKS

Listed, OTC, ETFs

Transaction Amount	Commission Rate
$0 to $8,000	$22 + 1.50%
$8,001 to $16,000	$22 + 1.25%
Over $16,000	$22 + 1.00%

OPTIONS

Minimum: $35.00

Transaction Amount	Commission Rate
$0 to $8,000	$20 + $1.50/Contract + 1.50%
$8,001 to $16,000	$20 + $1.50/Contract + 1.25%
$16,001 to $50,000	$20 + $1.50/Contract + 1.00%
Over $50,000	$520 + $1.50/Contract

OTHER CHARGES

Confirmation Statements Fee	$4.35 per trade
Voluntary Reorganisation Fee	$25.00 per event
Foreign Safekeeping Fee	$3.00 per position, per month

Notifications

Good Till Cancelled Notification Fee	$2.00 per notification
Bond Redemption Notification Fee	$2.00 per notification
Book & Records Fee	$1.50 per notification
Exercise & Assignment of Currency Options	$300.00 per notification
Exercise & Assignment of Other Options	$25.00 per notification

Transfers

Wired Funds	$20.00 per wire transfer
Legal, GNMA and Restricted Items	$80.00 per transfer
Outgoing ACATs	$50.00 per transfer
Accommodation Transfer	$60.00 per transfer
Register & Ship	$80.00 per transfer
Direct Registration	$15.00 per transfer