CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
1 of 10
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL (CAET)
Yes/No
APPLICATION FORM – Ensure correct prescribed form 74.4/74.4.1/74.5/74.5.1
http://ontariocourtforms.on.ca/en/rules-of-civil-procedure-forms/pre-formatted-
fillable-estates-forms/
Yes o
No o
IS THE ADDRESS OF THE COURT CORRECT?
Check where the application is being filed – e.g. at Toronto or at Brampton
Yes o
No o
IS THE FILER INFORMATION COMPLETE?
This application filed by:
This should be either the law firm contact details or an individual’s contact information if
filing on his/her (i.e. unrepresented) own behalf; this should include a valid email address
as required for communication with the Court
Yes o
No o
NAME OF DECEASED IS CONSISTENT?
Name should be the same on Death Certificate, Will, Affidavit of Execution, Application,
Certificate, Affidavit of Service and Notice of Application
If the deceased’s name is spelled differently on the proof of death documents, the
application materials must include the different spelling as an “also known as” (aka) name
Names should be consistent on all documents filed and include a.k.a’s
Yes o
No o
DATE OF BIRTH IS CONSISTENT WITH DATE OF BIRTH ON PROOF OF DEATH
CERTIFICATE?
Check for consistency
Yes o
No o
IS THE ADDRESS OF DECEASED IN THE CORRECT COURT JURISDICTION?
Address of the Deceased to include the full address with postal code
Yes o
No o
DID THE DECEASED HAVE A FIXED PLACE OF ABODE IN ONTARIO OR PROPERTY
IN ONTARIO?
If deceased did not live in Ontario but had property in Ontario, application to be filed in the
Jurisdiction of the property. Leave blank if not applicable and indicate N/A
Yes o
No o
IS THE MUNICIPALITY OF THE DECEASED’S ADDRESS COMPLETE? i.e.,
If Toronto, insert “City of Toronto” in the Municipality section of the application
If Mississauga, insert “Regional Municipality of Peel”
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
2 of 10
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL (CAET)
Yes/No
APPLICATION FORM – Ensure correct prescribed form 74.4/74.4.1/74.5/74.5.1
http://ontariocourtforms.on.ca/en/rules-of-civil-procedure-forms/pre-formatted-
fillable-estates-forms/
Yes o
No o
LAST OCCUPATION OF DECEASED AND THE APPLICANT(S) MUST BE LISTED?
Be consistent with the Certificate
NOTE: if using “Retired” – must be expanded to state “retired teacher/retired accountant”
etc.
Yes o
No o
IS THE CITY & MUNICIPALITY COMPLETED FOR THE PLACE OF DEATH?
i.e. – Toronto, in the Province of Ontario; or Mississauga, in the Regional Municipality of
Peel – PLEASE NOTE: The Regional Municipality of Hamilton-Wentworth was changed in
2001 to City of Hamilton.
Yes o
No o
IS THE DATE OF DEATH CONSISTENT ON ALL DOCUMENTS WITH THE PROOF OF
DEATH CERTIFICATE?
Proof of Death Certificate must be filed and must be original or certified/notarial copies
Check for consistency - Check certificate, notice of application and renunciation/consents if
applicable
Yes o
No o
IS THE DATE OF THE WILL AND CODICIL(S) ON THE APPLICATION and THE
CERTIFICATE CONSISTENT WITH THE WILL/CODICIL AND THE AFFIDAVIT OF
EXECUTION?
Check the date on the Will/Codicil against the Affidavit of Execution, Application, Notice of
Application, Certificate, Renunciation/Consent for consistency
Yes o
No o
WAS THE DECEASED 18 YEARS OR OLDER AT DATE OF WILL OR 21 OR OLDER IF
WILL DATED EARLIER THAN SEPTEMBER 1 1971?
Yes o
No o
IS THE MARITIAL STATUS ACCURATE AND CONFIRMED?
Yes o
No o
DID THE DECEASED MARRY AFTER EXECUTING THE WILL?
If “yes”, detail in schedule as will be sent to a Judge
Yes o
No o
DID DECEASED DIVORCE AFTER EXECUTING THE WILL?
If “yes”, detail in schedule as will be sent to a Judge
Yes o
No o
DID ANY BENEFICIARY/SPOUSE WITNESS THE DECEASED EXECUTING THE WILL?
If “yes”, detail in schedule as will be sent to a Judge
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
3 of 10
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL (CAET)
Yes/No
APPLICATION FORM – Ensure correct prescribed form 74.4/74.4.1/74.5/74.5.1
http://ontariocourtforms.on.ca/en/rules-of-civil-procedure-forms/pre-formatted-
fillable-estates-forms/
Yes o
No o
VERIFY THAT THE TOTAL VALUE OF ASSETS AND TAXES ARE CORRECT?
Note: The Estate Taxes are calculated on the value of the estate and are rounded up to the
next thousand. i.e., if the value of the estate is $125,395.25 the taxes is calculated on
$126,000.00 - See the estate tax calculator
https://www.attorneygeneral.jus.gov.on.ca/english/estates/calculate.php
Effective January 1, 2020, the Ontario government provided some small relief to
Estates by amending the Estate Administration Tax Act, and removing the tax
payable on the first $50,000 of the value of Estate assets reported on an Application
for Certificate of Appointment. Therefore, any Estate (for which an Application for
Certificate of Appointment is required), where the value of the Estate is $50,000 or
less, will no longer have to pay any EAT. For all other Estates where the value of the
Estate is over $50,000, no tax will be calculated on the first $50,000 but the tax
remains at 1.5% for the value of assets reported over $50,000.
Yes o
No o
ARE THERE BENEFICIARIES OTHER THAN THE TRUSTEE(S)?
If yes, Affidavit of service with /Notice of Application are required. If the Trustee/Applicant is
a beneficiary, his/her name must be listed on the Notice of Application along with the other
beneficiaries in paragraph 8
Yes o
No o
N/A o
IF THERE IS A PERSON NAMED IN THE WILL AS ESTATE TRUSTEE THAT IS NOT
APPLYING, DID HE/SHE DIE/RENOUNCE AND WAS A REUNCIATION FILED?
Renunciation or status of the named Trustee must be accounted for on the Application and
on the Certificate
Yes o
No o
IS THE AFFIDAVIT OF APPLICANT’S APPLICATION SIGNED AND COMMISSIONED
BY THE SAME COMMISSIONER WHO DATED AND MARKED THE WILL/CODICIL(S)
AS AN EXHIBIT?
Must be marked as Exhibit ‘A’ on the back of the signing page of the Will and Exhibit ‘B’ on
the back of the signing page of the Codicil. If there are more codicils, they are marked as
Exhibit ‘C’/Exhibit ‘D’ and so on. Lawyer/Commissioner must print name or stamp with name
Yes o
No o
IF THE SPOUSE OF THE DECEASED IS AN APPLICANT, HAS THE SPOUSE ELECTED
TO RECEIVE THE ENTITLEMENT UNDER SECTION 5 OF THE FAMILY LAW ACT?
This is only applicable if the spouse is the applicant. If not, state N/A
If yes, explain why spouse is entitled to apply
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
4 of 10
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL (CAET)
Yes/No
APPLICATION FORM – Ensure correct prescribed form 74.4/74.4.1/74.5/74.5.1
http://ontariocourtforms.on.ca/en/rules-of-civil-procedure-forms/pre-formatted-
fillable-estates-forms/
NOTE: ANY HANDWRITTEN CHANGES ON THE APPLICATION OR AFFIDAVIT MUST
BE INITIALLED BY THE SAME COMMISSIONER WHO COMMISSIONED THE
AFFIDAVIT
Yes o
No o
IF THE APPLICANT IS NOT NAMED AS AN ESTATE TRUSTEE, HE/SHE MUST BE AN
ONTARIO RESIDENT AND IT SHOULD BE STATED WHAT RIGHT THE APPLICANT
HAS TO APPLY – (IS IT WITH THE CONSENTS OF THE BENEFICIARIES OR
PURSUANT TO A COURT ORDER, OR OTHER?).
Consents of persons who together have a majority interest in the value of the assets of the
estate at the date of death (i.e, it’s in the applicant’s affidavit) or order of the court
Yes/No
WILL/Codicil
Yes o
No o
DOES THE NAME OF THE PERSON NAMED AS THE ESTATE TRUSTEE IN THE
WILL/CODICIL APPEAR THE SAME ON THE APPLICATION?
Name to be set out as given name, and also to state “referred to in the Will as …..”
The applicant’s surname must be set out first on the Application
Yes o
No o
DOES THE WILL/CODICIL(S) MAKE REFERENCE TO CONTINGENT BENEFICIARIES?
If so, these names should be listed as beneficiaries on the Notice of Application
Yes o
No o
DOES THE WILL/CODICIL MAKE REFERENCE TO A MEMORANDUM?
If yes, memorandum must be filed, or if no memorandum can be found, an affidavit must be
provided indicating none was found or in existence
N.B. This holds true whether any such memorandum is precatory or otherwise
Yes o
No o
ARE THERE ANY ALTERATIONS/DELETIONS TO THE WILL/ CODICIL(S)?
If “yes”, an affidavit explaining the changes to the condition of the will/codicil is required and
the Will must be marked as an exhibit ‘A’ to this affidavit.
Yes o
No o
CONFIRM IF ANY OF THE BENEFICIARIES/SPOUSE WITNESSED THE DECEASED’S
EXECUTE THE WILL/CODICIL(S)?
If “yes”, an affidavit needs to be prepared since it will be sent to a Judge together with the
consents of the beneficiaries to establish whether the gift stands, or whether there is to be
an application made before the Judge
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
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Yes/No
WILL/Codicil
Yes/No
Affidavit of Execution of Will or Codicil/Affidavit Attesting to the Handwriting and
Signature of a Holograph Will or Codicil- Ensure prescribed forms were used at the
time the affidavit was signed. Forms 74.8/74.9
Yes o
No o
IS THE AFFIDAVIT OF EXECUTION/AFFIDAVIT ATTESTING TO HANDWRITING AND
SIGNATURE OF THE HOLOGRAPH WILL SIGNED BY A WITNESS/OFFICER AND HAS
THE COMMISSIONER SIGNED, COMPLETED THE JURAT AND MARKED THE
WILL/CODICIL AS AN EXHIBIT?
If witnesses to the will and/or codicil cannot be found, or both have died, an affidavit must
be filed to state efforts made to find the witnesses, and an affidavit attesting to the signature
of the testator must be prepared by someone who has seen the signature, and can compare
it with a sample signature. The file will be sent to a Judge for determination.
Yes o
No o
IS THE AFFIDAVIT OF EXECUTION OF THE WILL/CODICIL MARKED AS EXHIBIT ‘A’
TO THE WILL?
Must be marked as Exhibit ‘A’ on the back of the signing page of the Will and Exhibit ‘A’ on
the back of the signing page of the Codicil
Yes o
No o
DOES THE AFFIDAVIT OF EXECUTION HAVE THE ADDRESS OF THE SECOND
WITNESS?
Remember to include the City and the Municipality
CONSENTS/RENUNCIATIONS – Ensure correct prescribed form 74.11/74.12/74.12.1
DOES THE CONSENT(S) HAVE THE NAME OF THE DECEASED (WITH AKA’S),
DECEASED’S DATE OF DEATH, NAME OF BENEFICIARY (WITH AKA’S) GIVING
CONSENT AND NAME OF APPLICANT (WITH AKA’S) AS APPROPRIATE?
Be consistent with all information throughout the application, in every part of the form
IS THE CONSENT SIGNED BY THE BENEFICIARY, DATED AND WITNESSED?
Name of witness must be printed
IS THE CONSENT BY AN ATTORNEY UNDER A POA ON BEHALF OF A
BENEFICIARY?
If yes, copy of the Power of Attorney must be filed
IF THE APPLICANT IS NOT NAMED AS ESTATE TRUSTEE ON THE WILL/CODICIL
ARE THERE CONSENTS FROM THE BENEFICIARIES WHO TOGETHER HAVE A
MAJORITY INTEREST IN THE VALUE OF THE ASSETS OF THE ESTATE?
Must state that the applicant is applying with the consent of the beneficiaries, and the
consents must be filed
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
6 of 10
DOES THE RENUNCIATION(S) HAVE THE NAME OF THE DECEASED (INCLUDING
AKA’S), DECEASED’S DATE OF DEATH AND DATE OF WILL APPEARING
CORRECTLY?
Check for accuracy
If the named trustee has renounced, the renunciation must be referenced on the Certificate
IS THE RENUNCIATION(S) SIGNED BY THE NAMED ESTATE TRUSTEE, DATED AND
WITNESSED?
Name of witness must be printed
Yes/No
AFFIDAVIT OF SERVICE WITH NOTICE OF APPLICATION – Ensure correct
prescribed form 74.6 and 74.7 attached as an exhibit
Yes o
No o
IS THE NAME OF THE DECEASED (INCLUDING AKA’S) AND DECEASED’S DATE OF
DEATH, CORRECT ON THE AFFIDAVIT OF SERVICE AND NOTICE OF APPLICATION,
AND CONSISTENT WITH THE APPLICATION AND CERTIFICATE?
Check for consistency on all names
Yes o
No o
IS THE APPLICANT’S(S) NAME (INCLUDING AKA’S) ON THE AFFIDAVIT AND NAME
AND ADDRESS ON THE NOTICE OF APPLICATION CONSISTENT WITH THE
APPLICATION AND CERTIFICATE?
Check for consistency on all names
Yes o
No o
ARE THERE MINOR BENEFICIARIES?
If yes, list the names, DOB, name and address of parent or guardian and estimated value of
their share in the estate; if NO minor beneficiaries – state N/A
Yes o
No o
ARE THERE ANY PERSONS WHO ARE MENTALLY INCAPABLE WITHIN THE
MEANING OF SECTION 6 OF THE SUBSTITUTE DECISIONS ACT, 1992 IN RESPECT
OF AN ISSUE IN THE PROCEEDING, AND WHO HAVE GUARDIANS OR ATTORNEYS
ACTING UNDER POWERS OF ATTORNEY WITH AUTHORITY TO ACT IN THE
PROCEEDING, ARE ENTITLED, WHETHER THEIR INTEREST IS CONTINGENT OR
VESTED, TO SHARE IN THE DISTRIBUTION OF THE ESTATE?
If yes, the name and address of the incapable person must be completed along with the
name and address of the Guardian or Attorney
Yes o
No o
ARE THERE ANY PERSONS WHO ARE MENTALLY INCAPABLE WITHIN THE
MEANING OF SECTION 6 OF THE SUBSTITUTE DECISIONS ACT, 1992 IN RESPECT
OF AN ISSUE IN THE PROCEEDING, AND WHO DO NOT HAVE GUARDIANS OR
ATTORNEYS ACTING UNDER POWERS OF ATTORNEY WITH AUTHORITY TO ACT IN
THE PROCEEDING, ARE ENTITLED, WHETHER THEIR INTEREST IS CONTINGENT OR
VESTED, TO SHARE IN THE DISTRIBUTION OF THE ESTATE?
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
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If yes, name and address of person must be completed with the estimated value of interest
in the estate provided and the Public Guardian and Trustee must be served
Yes o
No o
ARE THE ADDRESSES OF THE BENEFICIARES LISTED CORRECTLY?
Address should be civic address, not c/o address, not business address, not P.O. Box
address
Yes o
No o
IF A BENEFICIARY WAS NOT SERVED BECAUSE OF DEATH, IS THAT BENEFICIARY
LISTED IN PARAGRAPH 4 OF THE AFFIDAVIT OF SERVICE?
Predeceased beneficiaries should only appear in paragraph 4 of the Affidavit of Service of
Notice – DO NOT add this in # 10 of the Notice of Application
If not applicable, state N/A
Yes o
No o
IF A BENEFICIARY WAS NOT SERVED BECAUSE OF INABILITY TO LOCATE, OR THE
BENEFICIARY RECEIVED THE ENTITLEMENT PREVIOUSLY, IS ANY SUCH
BNEFICIARY LISTED IN PARAGRAPH 5 OF THE AFFIDAVIT OF SERVICE AND
PARAGRAPH 10 OF THE NOTICE OF APPLICATION?
When beneficiaries cannot be located, an affidavit stating attempts made to locate person is
required for the judge.
Reason to be provided or state N/A
Yes o
No o
ARE THE NAMES OF THE BENEFICIARIES IN THE WILL/CODICIL(S) CONSISTENT
WITH THE NOTICE OF APPLICATION?
If “no”, the beneficiary name should be set out as the proper given name(s) and also to set
out as “referred to in the will as”
If the Applicant is a beneficiary, make sure the name is listed in #8 of the Notice of Application
Yes o
No o
ARE ALL THE QUESTIONS IN THE NOTICE OF APPLICATION COMPLETE?
If not applicable – type N/A
Yes o
No o
IS THE NOTICE OF APPLICATION DATED?
Must be dated on the last page of the form
Yes o
No o
IS THE APPLICANT SWEARING THE AFFIDAVIT OF SERVICE? IS THE LAWYER
SWEARING THE AFFIDAVIT ON BEHALF OF THE APPLICANT?
If it is not the Applicant, #1 of the Affidavit must be amended to state “I am the lawyer for the
applicant for a certificate of appointment of estate trustee ….” to ensure correctness
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
8 of 10
Yes o
No o
IS THE AFFIDAVIT SIGNED BY THE AFFIANT? HAS THE COMMISSIONER SIGNED,
COMPLETED THE JURAT AND MARKED THE NOTICE OF APPLICATION AS EXHIBIT
‘A’?
This can be done on any page of the Notice of Application with corresponding name printed
of the commissioner
Yes/No
BOND REQUIREMENTS
Yes o
No o
HAS A BOND BEEN ADDRESSED IF THE NAMED ESTATE TRUSTEE DOES NOT
RESIDE IN CANADA OR A COMMONWEALTH COUNTRY?
Look at Sec 35 of the Estates Act: https://www.ontario.ca/laws/statute/90e21#BK36, and
as applicable Re Henderson Estate: http://canlii.ca/t/221lx
Yes o
No o
HAVE CONSENTS BEEN RECEIVED FROM ALL OF THE BENEFICIARIES TO
DISPENSE WITH THE BOND?
If no, then the affidavit has to address this, asking for the bond to be reduced to the share of
the person who is not consenting – i.e., minor beneficiary or beneficiary who cannot be found
Yes o
No o
HAS AN AFFIDAVIT IN SUPPORT OF THE REQUEST FOR AN ORDER THAT THE
REQUIREMENT TO POST A BOND BE DISPENSED, ADDRESSING THE DEBTS OF
THE ESTATE AND WITH AN UNDERTAKING TO PAY ANY DEBTS THAT ARE
OUTSTANDING?
Must be addressed
Yes o
No o
HAS THE AFFIDAVIT ADDRESSED WHETHER THE DECEASED HAD A BUSINESS?
Must be stated on the affidavit re debts
Yes o
No o
HAS THE AFFIDAVIT ADDRESSED THE DEBTS OF THE DECEASED?
IF OUTSTANDING, DEBTS MUST BE INCLUDED, THEY ARE TO BE LISTED AND AN
UNDERTAKING TO PAY ONCE THE CERTIFICATE HAS BEEN ISSUED
Yes o
No o
HAS A DRAFT ORDER TO DISPENSE WITH THE BOND BEEN FILED?
2 copies of a Draft Order need to be filed containing the prescribed header
http://ontariocourtforms.on.ca/en/rules-of-civil-procedure-forms/
Yes o
No o
HAS A BACK PAGE BEEN FILED FOR THE DRAFT ORDER TO DISPENSE WITH THE
BOND?
Prescribed back page must be provided
http://ontariocourtforms.on.ca/en/rules-of-civil-procedure-forms/
Yes o
No o
IS IT PROPOSED THAT A TRUST COMPANY APPOINTED TO BE A TRUSTEE?
If so, no bond required if Trust Company is the applicant
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
9 of 10
Yes/No
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE (CAET) 74.13/74.13.1 WITH
BACKSHEET
Yes o
No o
IS THE NAME OF THE DECEASED (INCLUDING AKA’S) AND DECEASED’S DATE OF
DEATH, OCCUPATION, ADDRESS AND DATE OF WILL/CODIDCIL(S) CONSISTENT
WITH THE APPLICATION & ALL OTHER DOCUMENTS BEING FILED?
Check for accuracy and consistency of information
Yes o
No o
IS THE APPLICANT’S(S) NAME (INCLUDING AKA’S), ADDRESS, OCCUPATION
CONSISTENT WITH THE APPLICATION AND OTHER DOCUMENTS BEING FILED?
Ensure every piece of information is consistent
Yes o
No o
IF A NAMED ESTATE TRUSTEE IS NOT APPLYING, IS THIS ACCOUNTED FOR ON
THE CERTIFICATE? IE., RENOUNCED/DIED, ETC.
Status of named trustee must be accounted for on the Certificate, this information must be
set out under the applicant’s details.
Yes o
No o
IS THE DATE OF THE WILL/CODICIL CORRECT ON THE CERTIFICATE OF
APPOINTMENT?
Check against the Affidavit of Execution
Yes o
No o
IS THE COURT ADDRESS CORRECT ON THE CERTIFICATE OF APPOINTMENT?
Court address must be completed on the Certificate – DO NOT INSERT A DATE – THIS IS
FOR THE REGISTRAR TO COMPLETE
Yes o
No o
IS THE BACK PAGE OF THE CERTIFICATE CORRECTLY COMPLETED WITH ALL
CONTACT DETAILS?
Court requires 2 copies of the prescribed back page
Yes o
No o
ARE THERE CLEAN UNMARKED COPIES OF THE WILL(/CODICIL(s) FILED WITH THE
CERTIFICATE?
Court requires 2 clean unmarked copies of the Will/Codicil(s) – DO NOT STAMP ‘COPY’ on
the Will
Yes o
No o
ARE THERE 2 COPIES OF THE CERTIFICATE BEING FILED?
Court requires 2 copies of the Certificate
CHECKLIST FOR THE APPLICATION FOR A
CERTIFICATE OF APPOINTMENT OF ESTATE TRUSTEE WITH A WILL
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ADDITIONAL RESOURCES:
https://lso.ca/lawyers/practice-supports-and-resources/practice-area/estates-and-trusts
https://lawsocietyontario.azureedge.net/media/lso/media/lawyers/practice-supports-resources/best-
practices-for-remote-commissioning-en.pdf
HOW TO APPLY FOR PROBATE IN ONTARIO
https://www.attorneygeneral.jus.gov.on.ca/english/estates/how_to_apply_for_probate.php
HOW TO AVOID COMMON ERRORS IN ESTATE APPLICATIONS
https://www.attorneygeneral.jus.gov.on.ca/english/estates/avoiding_common_errors.html
TO OBTAIN A COPY OF THE COURT SERVICES DIVISION ESTATE MANUAL
Law firms may email your request to: [email protected]
https://www.attorneygeneral.jus.gov.on.ca/english/about/pubs/
This checklist is intended for the purposes of providing information and guidance only and is not
intended to be relied upon as the giving of legal advice and does not purport to be exhaustive.