THE 360 NEWSLETTER

Following the launch of the Business Tracker last June (ref. June 15, 2023 communication), we are pleased to announce that two new process types have been added to this tool to facilitate your follow-up of these types of requests:

• Limited authorizations*
• Transfer outs (nominee accounts)

*Note: The tracker is applicable to Limited Authorization Forms sent to head office for processing as per your branch office process. If the status of one of your limited authorization requests indicates “Rejected”, you will receive a communication from your Compliance Supervisor to inform you of the reason for the rejection.

New Due Date column

As an additional enhancement, a new Due Date column has also been added to let you know when your requests are expected to be processed based on the process type. If this date becomes red and the status indicates “Additional Information Required”, please ensure that you take action and provide us with the missing information to allow us to complete processing of your request in a timely manner.

Reminders:

What is the Business Tracker?

The Business Tracker is a “one-stop shop” for the requests you upload for processing through the Advisor Centre so that you can stay up to date on their progress and plan your follow-ups more efficiently. Updated continuously, the Business Tracker provides an almost real-time view of your requests so that you can have more agility to react quickly where needed.

How it works

Simply search your request by date, rep code, client name/ID, type or status, then track its progress. The arrow on the right of the status is where you can click to access/download/print the document you uploaded for processing.

Requests supported

• AWD setups and changes
• Letters of indemnity
• Inbound transfers (mutual funds and segregated funds)
• Fee reimbursements
• NEW! Limited authorizations
• NEW! Transfer outs

Statuses