THE 360 NEWSLETTER

Please be advised that effective November 28, 2022, the KYP due diligence acknowledgement for a fund will be reset in the system when a material change is made to the fund.

As a reminder, the KYP tool on the Advisor Centre refreshes weekly and any changes to the following fields below will constitute a material change:

KYP Weekly Alert (Action Required)

To facilitate your KYP process, as of November 28, 2022, you will be receiving KYP weekly email alerts from investia.notification@investia.ca with any material changes to funds which you have already completed due diligence on. The alerts will require action (i.e., KYP resubmission) to be taken on the funds that underwent a material change from the previous week. These alerts will be sent out weekly, on Monday mornings.

Below is an example of a list of material changes you may receive in the weekly alert. Note that the fund changes below do not reflect real changes and are only used to demonstrate the alert display.

KYP Quarterly Alert (FYI)

In addition to the KYP weekly alert, which captures weekly material changes to funds, a KYP quarterly alert will also be sent out to Representatives displaying funds that are currently ranked lower than the colour of the fund at the time the KYP due diligence was completed. The funds listed on KYP quarterly alerts will not require KYP due diligence resubmission but it is still recommended that Representatives review any existing notes for the funds listed below and update them if needed. Below is a sample of the quarterly alert:

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