THE 360 NEWSLETTER

As part of our efforts to ease your processes, we would like to inform you that a new form has been made available for your convenience.

Effective Friday, March 27, 2020, the new Cheque Transmission or Banking Information Addition Form (F51-349A) will be available in Univeris under the “Generate Forms” section of the Task Menu, as well as in XPRESSSuite.

This form, which will replace Investia’s Cheque and Specimen Imaging Form (INV-031A) currently in the system, may be used for two distinct purposes:

• To add or delete a bank account into an Investia nominee account – The completed and signed form must then be sent to Investia Head Office for processing via the Secure File Upload Tool; and/or
• To confirm the source of funds used to make the investment in the client’s account – In this case, please send the form to Head Office for imaging via the Secure File Upload Tool.

Important Considerations:

• In these exceptional circumstances of the pandemic of COVID-19, we strongly encourage you to use this form and the Secure File Upload Tool for the transmission of clients’ cheques and banking information, as this will ensure efficient trade processing, timely payment to the client and the protection of client information. Please note that while all of our existing operations and processes are maintained in these difficult conditions, we are not immune to the possibility of eventually having to suspend the issuing and/or cashing of physical cheques, which is why we encourage you and your clients to make the most of our digital tools and solutions.

• We would like to take this opportunity to remind you that all Investia forms may be signed electronically by the client in an entirely secure and compliant manner via the E-Signature Tool on the Advisor Centre. Note that your clients who are not registered, nor want to register, on the Client Portal can also sign forms electronically very easily. For complete information regarding this process, we invite you to refer to the Electronic Signature Guide for Representatives available on the Advisor Centre under Guides and Training / Technological Tools.

• We would also like to remind you that in accordance with our policies and procedures, the client’s signature, whether it is a wet or an electronic one, is always required to change or add new client banking information. For more detailed information, please refer to Investia’s Compliance Policies and Procedures Manual, Chapter 5, III. Order Entry Procedures, p. 65.

• Finally, as always, we are counting on your cooperation to continue to always validate the client’s banking information and/or instructions directly with the client prior to processing, and take detailed notes of all appropriate information in the client file.