With the proliferation of different series for the same fund and load version, it has become increasingly difficult for advisors to confirm the correct fund code for the particular series of a fund. We have identified these challenges and, in an effort to improve the process for you and reduce your regulatory risk, we have redesigned our trade forms to place the fund code in a specifically designated area where it can be completed after the client has signed the trade instruction. This change applies to both the “Purchase or Redemption only” and “Switch or Conversion only” forms.

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If you have any questions regarding the above, please contact your Branch Manager or Regional Compliance Officer.