Pension Forms

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 - this form is used by the pension plan administrator to file an Actuarial Information Summary with the Superintendent.
  

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, 2008) - 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. The form now includes a provision allowing a non-resident of Canada (whose departure from Canada occurred at least 24 months prior to submitting the application) to apply to a financial institution to withdraw all of the money in the Ontario locked-in account.

• Form 5.1: Application to a Financial Institution to Withdraw or Transfer up to 25%  of the Money Transferred into a Schedule 1.1 LIF (Effective January 1, 2008)– This form is used by the owner of a Schedule 1.1 LIF to apply to a financial institution, within 60 days of the transfer, for a one-time withdrawal or transfer of up to 25% 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 (Effective January 1, 2008) [PDF] - 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 (Effective January 1, 2008) [PDF] - 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