THE 360 NEWSLETTER

Following the July 20, 2023 communication regarding the Electronic Processing Agreement (“EPA”) between fund companies and distributors (Representatives/Head Office), please be advised that Investia will be implementing changesto the Limited Authorization Form (“LAF”) approval process.

As such, effective June 21, 2024, Investia will no longer affix any signatures on the LAF as part of the approval process.

For Representatives under Corporate Branch Manager supervision: please continue to send all your signed and fully completed LAFs to Head Office via the Secure File Upload Tool (“Processing” option). Once the LAF is approved by Head Office, the LTA status in Univeris will be updated to “Authorized”, with the approval date inserted in the “Last LTA Update” field.

For Producing Branch Managers: the process remains unchanged.

We remind Representative that detailed client notes related to discussions and/or verbally authorized trade instructions must continue to be maintained. Please refer to the August 4, 2022 communication for more details.

In cases where a request is made by the fund company to deliver a LAF, please send your request to our Client Services Department by email at investia@investia.ca and upload the LAF to processing. Once approved, a dealer-signed LAF can be retrieved from the “Documents” tab in Univeris.

If you have any questions, please do not hesitate to contact your Compliance Team.