REJECT THAT ITEM! - Anything pertaining to PR
Account Designation where we would reject to Reps
Client-Held Accounts
Request for a call back.
CALLOUT
Document to be sent when an error is made by the dealer, in order to do an adjustment.
LOI
Taxable Disposition. Relinquishing Account has a realized gain/loss.
Transfer At Market - Article ID 3054
When receiving a PR Financial item, we reach out Day 1 ___, Day 2 ___
Day 1 Call/Day 2 Fax
No contribution slip was issued due to hold/return mail flags on the account. The flags have now been lifted, and a Slip is requested.
CONDUPE
Modify an existing pre-authorized chequing plan.
MODPAC
Not a taxable disposition. ACB Carries over from relinquishing account to the receiving account.
Transfer at Cost - Article ID 3054
List that outlines fax deadlines and dealer/rep exceptions regarding fax and calls (i.e. no faxes after 5PM)
Do Not Call List - Article ID 1897
Request for a duplicate statement for a client/rep/dealer.
COPY
Modify an existing Systematic Withdrawal Plan.
MODSWP
Same fund moving from one account to another. The fund can be moving between different account types/accountholders, entities, dealers, but investment stays the same.
Transfer In-Kind - Article ID 3054
Forms we fill out when locked-in money is being transferred in
Locked-In Agreement
CYCLEREJ
Used to perform in-kind transfers.
TRANS
Fund is sold from existing position and transferred to another institution. Redemption fees apply. This is always at market, since the Fund has to be sold.
In-Cash Transfer - Article ID 3054
The environment that requires us to always include the Client's name on PR Letters
Bridgehouse
Used for paperwork that relates to a rule, law, or regulation that an account must adhere to. Commonly used for Escrow accounts.
COMPLIANCE
Used to exchange/switch a specified dollar, unit, or percentage amount from one fund to another fund, within an account.
EXCH
If cost or market is not specified on a transfer-in-kind request, then we default to ________ standards.
Industry Standards - Article ID 1398