Client support
Client states that they live in Canada, can you specify that the client needs the W8Ben in particular?
No this could be considered tax advice
Can you submit a request to consolidate client profiles?
Yes, this is a normal CSR task
Which system / systems can you use if a client request a cheque rather than RTFT?
Berton, Service Link, Web Galaxy
A client asks if he should purchase a GIC or A mutual fund, are you allowed to recommend a GIC over a Mutual fund?
No we do not give advice
Can you provide clients with a quote for a U.S stock
Yes, CSRs can provide quotes to clients
Can you guide a client to set up notifications for when a stock hits a specific price? Show the process
Search quote – set alarm
Can a U.S resident have DRIP on their TFSA?
No U.S residents cannot buy in a TFSA therefore, DRIP is still considered buy orders
Where can you check if an account is approved for options?
TradeLink
Client Source
Client calls and is in a rush to place a trade and does not want to be transferred, can you guide the client online?
CSRs can guide clients to Order entry page ONLY,
If conversation goes further. ISR must assist
Where can you confirm details of an order filled the same day
Can you take action based on instruction written in the body of a secure email?
No, we can only take action on instructions over the phone on a recorded line
Can you change a clients’ address to an address in Paris via verbal request?
No, Update / Change form must be submitted for address changes outside of Canada
Which system is used for in kind contributions and withdrawals?
WebGalaxy / SL+
Can you discuss advanced margin concepts such as concentration guidelines?
Advanced concepts must be discussed by an ISR
Client is unable to locate the S&P500 to purchase online, explain why this is the case
The S&P500 is an index and cannot be purchased, Clients can purchase ETFs or MF which simulate the returns
Can you change the statement preference for a non-personal account based off a verbal request from a TA? Why or Why not?
No, a form is required
Client placed a trade on the wrong side of his account accidentally, can you journal the security over to the correct side?
If you are properly trader trained
Where can you see when the last time a client has logged in online?
OTIS
Client would like legal proof he purchased a security; can you help the client?
Yes, you can send the client the statement or trade confirmation. Alternatively, you can guide the client to his statements online.
Client would like to place a trade on the Australian exchange, is this possible?
Yes but must be done by someone trained for international trading
A client is calling from Florida, can you send him an account application form?
Yes, CSRs can still speak to U.S residents
Can you request a proxy control number for a client?
Yes Via serviceLink case
What is the last resort to locate old documents on our system?
ServiceLink to ask back office to search archives
Can you guide a client online for a foreign exchange?
No, FX is a level 2 activity
Where can you submit instructions for a Voluntary Corporate Action for a client?
TL or SL case