THE 360 NEWSLETTER

As previously indicated in the June 2, 2022 communication, the following fields are now mandatory in Univeris:

First ID Type Occupation

First ID Number Marital Status

First ID Country of Issue Number of Dependents

First ID Province of Issue

Pseudo data has been scripted into Univeris for existing accounts where the above fields were incomplete PRIOR to June 9, 2022 in order to prevent a large volume of blocked trades.

IMPORTANT: The pseudo-data scripted in for the missing Occupation, Marital Status and Number of Dependents fields will need to be updated upon the next KYC update. The pseudo-data scripted in for the missing First ID fields will not need to be updated upon the next KYC update, however if you have this information on file it is recommended that you update these fields in Univeris.

Please see below for further details:

“Occupation” Field

Any existing accounts where this field was left blank was scripted in with the pseudo-data “Merger- HO use only”. When updating these existing client KYCs in Univeris, please be sure to update this field for the client as seen below:

AccountXPRESS:

“Marital Status” Field

Any existing accounts where this field was left blank was scripted in with the pseudo-data  “Merger- HO Use Only”. When updating these existing client KYCs in Univeris, please be sure to update this field for the client as seen below:

AccountXPRESS:

“Number of Dependents” Field

Any existing accounts where this field was left blank was scripted in with the pseudo-data “99”. When updating these existing client KYCs, please be sure to update this field for the client as seen below:

AccountXPRESS:

Should you have any questions or require additional information, please do not hesitate to contact your Compliance Officer.