THE 360 NEWSLETTER
Compliance Inquiries and Account Supervision Email Address – Clarification
Compliance April 20, 2023As you may know, compliance inquiries are sent via our automatic email response system (i.e., JIRA ticketing) from the following email sender address: accountsupervision@investia.ca
As such, we ask that you please not send emails to this email address as they will go to an unassigned queue, which requires a compliance team member to analyze the request and assign it to the correct individual.
To avoid any potential delays, if responding to a compliance inquiry, please reply to the original email (i.e., the JIRA ticket), or reference the ticket number in the “Subject” line of your message.
For any compliance related inquiries, please contact your Branch Manager/Corporate Branch Manager directly, either via their phone number or email address for a timely response.
Should you require additional clarification, please contact your Compliance Officer.
Also in this issue
- Advisor Applications Security Update – Integration of Multi-Factor Authentication
- Availability of March 31, 2023 Statements
- Elimination of Deferred Sales Charges (DSC) and Low Sales Charges (LSC)
- Virtual Best Business Practices Roadshows – Save the Dates
- FHSA – Updated Client Article and Availability in Univeris
- Interfund Switch Form and Signature Guarantee (Investia Nominee Accounts)
- New Client Article
- Investia Learning – New Section Highlighting Accredited Content
- Reminder – System Maintenance Weekend of April 21, 2023
- Upcoming Live Training Webinar on nesto – More Information
- The Chronicles of our Cyber-Experts
- Learning From Experience – Rimba’s Story (PPI)
- Cheques Made Payable to FundEX and Online Payment (EFT)