Registration Forms

• Form 1: Application for Registration of a Pension Plan (Effective June 13, 2005) - this form is used by the pension plan administrator to register a pension plan with the Superintendent.
  
  
• Form 1.1: Application for Registration of a Pension Plan Amendment (Effective August 1, 2000) - this form is used by the pension plan administrator to register a pension plan amendment with the Superintendent.

Reporting Forms

• Form 2: Instructions and Form for an Annual Information Return - this is a specimen copy of the form used by the pension plan administrator to file an Annual Information Return with the Superintendent for plans with fiscal years ending on and after April 1, 2007. The Annual Information Return is provided each year by FSCO directly to the plan administrator. If the AIR form for any year is lost or misplaced, duplicates are available from FSCO by email or by calling (416) 226-7776. Submission of photocopies or altered forms is not acceptable.
  
  
• Form 2.1: Instructions and Form for a Pension Benefits Guarantee Fund Assessment Certificate - this is a specimen copy of the form used by the pension plan administrator to file a Pension Benefits Guarantee Fund Assessment Certificate with the Superintendent. The form for a Pension Benefits Guarantee Fund Assessment Certificate is provided each year by FSCO directly to the plan administrator. If the PBGF form for any year is lost or misplaced, duplicates are available from FSCO by email or by calling (416) 226-7776. Submission of photocopies or altered forms is not acceptable.
  
  
• Form 7: Instructions and Form for Summary of Contributions/Revised Summary of Contributions - this form is used by the pension plan administrator to give a Summary of Contributions to a pension fund trustee.
  
  
• Form 8: Instructions and Form for Investment Information Summary - this form is used by administrators of defined benefit pension plans, other than designated plans, to file an Investment Information Summary with the Superintendent.
  
• Form 8 in Excel, containing 5 worksheets, is provided to facilitate the completion of the Investment Information Summary.
  
  
• Actuarial Information Summary
  • Actuarial Information Summary 2010 - updated form is available for immediate use. This Actuarial Information Summary (AIS) has been updated and amended by FSCO in collaboration with the Canada Revenue Agency (CRA) the Office of the Superintendent of Financial Institutions (OSFI)and the Régie des rentes du Québec. The amended AIS form will become mandatory for pension plans registered with FSCO that contain defined benefits and must be filed in conjunction with any funding valuation reports with filing deadlines of June 30, 2010 and beyond. This form supersedes the form posted in 2009, which will be archived on or about June 30, 2010.
    
    
• Request for Superintendent's Approval of Commuted Value Transfers - This form is used by the pension plan administrator to obtain the prior approval of the Superintendent before transferring any funds under Sections 42 or 43 of the PBA, in situations where the administrator knows or ought to know that the transfer ratio in the most recently filed valuation report has declined by 10% or more.
  

Member Forms

• Form 3: Waiver of Joint and Survivor Pension (Effective June 13, 2005) - this form is used by pension plan members and former members and their spouses to waive entitlement to a joint and survivor pension.
  
  
• Form 4: Waiver of Pre-Retirement Death Benefit (Effective June 13, 2005) - this form is used by spouses of pension plan members and former members to waive entitlement to a pre-retirement death benefit.

• Form 4.1-Waiver of Survivor’s Benefit from an Ontario Locked-in Account -LIRA, Old LIF, New LIF OR LRIF (Effective January 1, 2008) - this form must be used by the spouse of the owner of an Ontario locked-in account to waive his/her right to receive any survivor’s benefit.  This waiver may be cancelled by the spouse of the owner at any time.
  

Pension Unlocking Forms

• Form 5: Instructions and Form for Applications to Financial Institutions for Access to Locked-in Accounts  – Effective January 1, 2010 to December 31, 2010 - This form is used by the owner of an Ontario locked-in account (LIRA, LIF, LRIF) to apply to a financial institution to withdraw or transfer money from the account. In general, applications for withdrawal of all or part of the money in an Ontario locked-in account can be made based on one or more of the following criteria:

• a life expectancy of two years or less
• age 55 or older and the value of fund in all locked-in accounts is less than $18,880
• amounts transferred to the locked-in account exceed the federal Income Tax Act limits
• non-resident of Canada and 24 months have passed since your departure from Canada.

Further details of the requirements are set out in the Instructions for Form 5 and the Application.

• Form 5.1.1: Application to a Financial Institution to Withdraw or Transfer up to an Additional 25% of the Money Transferred into a Schedule 1.1 LIF prior to January 1, 2010 – Application must be received by the financial institution on or before December 31, 2010 – This form is used by the owner of a Schedule 1.1 LIF who transferred money into a Schedule 1.1 LIF prior to 2010 and wishes now to withdraw or transfer up to an additional 25% of the total value of the money that was transferred to his or her Schedule 1.1 LIF prior to January 1, 2010.

• Form 5.2: Application to a Financial Institution to Withdraw or Transfer up to 50% of the Money Transferred into a Schedule 1.1 LIF During 2010 – Effective January 1, 2010 - This form is used by the owner of a Schedule 1.1 LIF who has transferred money to a Schedule 1.1 LIF after December 31, 2009, to apply to a financial institution, within 60 days of the transfer, for a one-time withdrawal or transfer of up to 50% of the money transferred into a Schedule 1.1 LIF.

Financial Hardship Unlocking Forms

• Form 6: Instructions and Form for Applications to the Superintendent of Financial Services for Access to Locked-in Accounts - for All Categories of Financial Hardship[PDF]- Effective January 1, 2010 - This form is used by the owners of locked-in accounts (LIRA, LIF, LRIF) to apply to the Superintendent to withdraw money in a locked-in account due to financial hardship.
  • To learn more about financial hardship unlocking please see A Guide to Applying for Special Access
    
    
• Form 6.1: Instructions and Form for Applications to the Superintendent of Financial Services for Access to Locked-in Accounts - for Low Income Category of Financial Hardship [PDF]- Effective January 1, 2010 -This simplified form is used by the owners of locked-in accounts (LIRA, LIF, LRIF) to apply to the Superintendent to withdraw money in a locked-in account due to low income financial hardship only.
  • To learn more about financial hardship unlocking please see A Guide to Applying for Special Access

Wind Up Forms

• Superintendent's Checklist for Compliance on Plan Wind up for Defined Benefit Plans
  
  
• Wind Up Report for Defined Contribution Pension Plans - this form is used by defined contribution pension plan administrators to file a wind up report for a defined contribution pension plan with the Superintendent.
  • Instructions for Completing the Standardized Wind Up Report for Defined Contribution Pension Plans