Hello ~
We have recently reviewed our LTA processes and have made some important changes that you must be aware of. Many of these changes are based on your feedback.
Revised LTA Form – Effective immediately HCI representatives must use the revised LTA form (see link below). This new form allows for the setup and modification of PACs, SWIPs and AWDs. Existing clients who have previously signed an LTA form are NOT required to sign the new form unless the Rep wishes to be able to make those changes. LTA forms currently in transit will NOT be rejected.
Change to the LTA Approval Process – Effective immediately, all LTA forms will be reviewed, approved, and added to RepVision from our head office in Woodbridge. You may send LTA forms (with original client and representative signatures) directly to the Woodbridge office or send them through the regional office to be forwarded to Woodbridge.
The Compliance Bulletin provides further details regarding these changes. Please review the entire Compliance Bulletin here.
A sample of client transaction notes can be found here.
Please contact your Regional Compliance Officer should you have any questions regarding these documents, their use, or any process contained herein.
Regards,
Cheryl Hamilton
