In an effort to prevent transactions being halted in the order affirmation process for risk suitability concerns, we have gathered all the necessary steps in a comprehensive and easy-to-read administrative procedure.
Transactions halted in order affirmation can expose your client to financial losses if the suitability concerns are not resolved in a timely manner. This procedure covers best practices for collecting information and assessing the suitability of your clients’ trades to avoid order affirmation, as well as steps to promptly resolve inquiries if your transaction is halted, to avoid potential trade delays. It also includes direct links to other Investia administrative procedures and bookmarks to help navigate between sections.
Click here to read Administrative Procedure #66 – Order Affirmation, which can also be found on the Advisor Centre under Procedures & Forms / Administrative Procedures.
Thank you for your attention.
Should you have any questions or require further clarification, please contact Client Services, by email at investia@investia.ca or by phone at 1-888-684-5548, or contact your Corporate Branch Manager.