Document Management Manual

Table of Contents

  1. Scanner Configuration Requirements
  2. Uploading Documents to CRM
  3. Additional Information (Plan Id “Others”)
  4. Proper use of the Description Fields
  5. General Considerations
  6. Reviewing client’s documents
  1. Scanner Configuration Requirements

1.1Scan in color mode always.

1.2Scan quality of minimum DPI of 200.

Below is an example of the settings on the Cannon DR C225 scanner.

  1. Uploading documents to CRM

2.1Open your browser and go to the user name and password required will be the same as your outlook user name and password.

2.2Click on the arrow beside “GP WEALTH” and then click on the tab “CONTACTS”

2.3In the search bar, type the name of the client and press enter or click on the search icon.

2.4From the results click on the client you want to upload documents to.

2.5Click on Scanning.

2.6A new window will appear and you will see your client’s name at the top of the pop up window. Select the Document Type from the drop-down menu, the appropriate Plan Id that the document relates to, and a Description where applicable (see guidance on proper use of the description field provided below). The Signed field is mandatory, and must match the date the document was signed by the client. Click on Browse and select the location where you stored the scanned document, once selected, click on “Upload & Save”. You will receive a confirmation message as shown in the second image below.

  1. Additional information

The following document types are client level documents and should be uploaded by selecting the Plan Id “Others”:

  1. Articles of Incorporation
  2. Client Information Document
  3. Corporate Resolution
  4. Entity Director/Owner Info Sheet
  5. Estate Documents
  6. Free/Matured Unit Consent Form
  7. Internal Change of Financial Advisor Form
  8. Investment Profile Questionnaire
  9. Know Your Client Form
  10. Limited Trading Authorization-Individual
  11. Power of Attorney
  12. Signature Service Account Addendum
  1. Third Party Determination Statement
  1. Proper use of the Description fields

4.1Financial Account Changes Form and GPWM Order Receipt should always have a description and should read “Buy”, “Sell” or “Switch”

4.2Non-Financial Account Changes Form should always have a description and should read “Address”, “Beneficiary”, “Bank”, “Name Change” or “SWP”

4.3Investment Profile Questionnaire should always have a description and should read “Retirement”, “Education”, “Short-Term” or “Other” (other should be defined in one or two words)

4.4The Document Type “Other” must always have a concise description

4.5Any other descriptions are optional and should be concise

  1. General Considerations

5.1All documents must be uploaded to CRM.

5.2Avoid blank pages in the scanned documents.

5.3Any new clients or plans created on Winfund will sync with CRM within 30 min. Please ensure that the client and plan are available in CRM before uploading the documents.

5.4For documents pertaining to joint plans, the document can be uploaded to either client however the correct joint plan id must be selected.

5.5The LTA for joint plans should be scanned under the joint plan.

5.6In cases where a document belongs to 2 plans, one plan should be selected from the drop-down menu and the other plan id should be listed in the Description field.

5.7In cases where a cheque is split between multiple clients, the copy of the cheque must be uploaded to each individual client.

5.8In cases where a cheque is split between multiple plans, the copy of the cheque should be uploaded selecting the plan id “other”.

5.9Upload each document type separately. If you believe that certain documents should be uploaded as a single document, please contact .

  1. Reviewing client’s documents

If you want to review your client’s documents follow the steps below:

6.1Click on the arrow pointing down next to your client’s name and select “Documents”

6.2You may be required to enter your password again for SharePoint access, your credentials are the ones you use to log into CRM, in some computers it may require you to input GPCAP\username.

6.3You will be able to see the documents uploaded for your client.

Operations Memorandum 2017-13; Bank Trust Account Deposit Instructions

Date:August 17, 2017

From:Ingela Baker

VP Finance & Operations

Re:Bank Trust Account Deposit Instructions

On September 5th, 2017, the industry is moving from T+3 settlement of trades (for most mutual funds, except Money Market instruments) to T+2 settlement of trades. With the reduced settlement period for purchases, it is crucial that all deposits are done efficiently, on time, and with minimal delays.

In addition to the requirements set out in Compliance Memorandum 2015-06: Certified Cheques, we are providing additional instructions in relation to all deposits, regardless of dollar amount in order to avoid the bank placing a “hold deposit” on the funds deposited.

A “hold deposit” is when a bank teller places a hold on a deposited cheque. The bank does this to ensure that there is sufficient funds available, and the hold is usually for 4-5 business days. A hold on a deposit can occur on a regular and a certified cheque, and when a cheque is placed on hold, the funds are not accessible until the hold is released.

Avoid Trading Losses

To avoid any potential delays and/or trading losses, please follow the instructions below for all deposits made to the trust account.

All cheques, money orders, drafts and certified cheques must be deposited using a bank teller. Do not make a deposit to an ATM or deposit box.

At the time of a deposit, it is very important that you confirm with the teller if a HOLD was placed on any of the cheques you have deposited. If a hold has been placed, you must notify the accounting department immediately via email at . If you have already placed your trades prior to the deposit into the bank trust account, you must cancel the trades before 4 pm on the same day the trade was placed in avoid any potential trading losses. If you have not placed trades prior to the deposit then do not enter the buy/purchase transactions in Winfund until you have received notification from the accounting department that the hold has been released however you must enter the deposit into Winfund.

Very Important

If trades are not cancelled before 4 pm the same day as the hold deposit, then you will be responsible for any trading loss incurred.

As always, if you have any questions please feel free to contact me by phone at 416-622-9969 ext. 245 or by email at .

400-5045 ORBITOR DRIVE, BLDG 11, MISSISSAUGA, ON L4W 4Y4 | T: 416.622.9969 | E: | W: gpwealth.ca /