THE 360 NEWSLETTER

Lately, we have been receiving a number of documents for processing at Head Office when the document has already been processed on the Representative’s end and should only be sent to imaging.

We are taking this opportunity to remind you that it is very important to select the proper option (“Imaging” or “Processing”) on the Secure File Upload Tool on the Advisor Centre to avoid potential errors and delays. Sending processed documents for processing (e.g., an internal transfer form) could result in the trade being processed a second time by our team, which would require a letter of indemnity (at the Representative’s expense) to correct the error.

Below is a reminder of the two options available on the Secure File Upload Tool:

• Imaging (Archive of documents); and
• Processing (Actionable items for head office).

Documents for processing:

Any document that requires an action on our part must be sent via the “Processing” option. Examples of such documents include void cheques to be entered in Univeris, redemption documents when special instructions are involved (e.g., a specific amount of withholding tax must be applied), AWD setup requests, etc.

Documents for imaging:

On the other end, all documents sent via the “Imaging” option will only be archived. They will not be acted upon by our team.

Reminders:

• As per Administrative Procedure # 7 – External Transfer in – Investia Nominee Accounts, the Representative is responsible for sending transfer requests to the relinquishing institution directly, and then for uploading the transfer form to Head Office for imaging purposes.

• You can consult the “History of uploaded files” available on the Advisor Centre at any time in order to confirm whether your documents were sent for processing or imaging purposes.