With RRSP season upon us once again, we take this opportunity to remind you of some important HUB Capital policies and procedures, as well as provide some helpful tips and best practices to help you have a successful and compliant RRSP season, and year.

We have updated our HUB Best Practices Guide to reflect some of the changes that we have made to our policies and procedures this past year.

This guide includes important information to assist you with processing your business efficiently, while also helping you to avoid unnecessary deficiencies or trade delays. It also includes information on changes involving Limited Trade Authorizations and client authorization for trades in existing accounts.

We recommend that you take some time to review the guide before you join us for the mandatory webinar reviewing the 2024 Best Practice Guide that is taking place on Wednesday, January 31st at 1:00PM EST. If you have not already signed up, please click here to register. 

We also encourage you to keep a copy at your fingertips, to use as a reference on a daily basis. Our goal in producing these guides is to give you more time to dedicate to building and protecting your business throughout the year!

If you have any questions, please contact your Regional Compliance Officer.

Thank you for your prompt attention to this matter.

Cheryl Hamilton
Vice President Risk Management and Chief Compliance Officer