THE 360 NEWSLETTER

Good news! As requested by many of you, Investia’s Investor Profile Questionnaire (“IPQ”) now comes with a pre-populated Client Personal Information section on page 1 when you generate the editable version from the Advisor Centre. This should save you precious time upon document completion while ensuring that this section always includes up-to-date client information that is sure to reflect the information in the system.

No client signature required on the IPQ

As we receive questions about this from time to time, we want to draw your attention to the fact the IPQ does not have a client signature field for clients to attest to the accuracy of information. This was an intentional omission on our part as the IPQ is an optional document which should be seen as a note-taking tool rather than the official client profile document. The only official mandatory client profile document at Investia is the NCAF/KYC Update Form.

As a good practice, for those of you who feel they might want their client to sign the IPQ, we encourage you to have it e-signed using our Electronic Signature Tool, much like you would for some client notes that you keep on file.

Investia’s IPQ (printable and editable versions) can be found on the Investia Advisor Centre under Guides and Training / Compliance.

Useful reminders:

• To use the editable version of the IPQ, you must use Adobe Acrobat Reader or a more advanced version of Adobe Acrobat.
• The editable version of the IPQ is not mobile-optimized, and as such we don’t recommend its use on mobile devices.
• Click here to watch or re-watch a short video which will help you complete the questionnaire with your clients, also available on the Investia Advisor Centre under Guides and Training / Training Videos.

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