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Accessing Documentation on the Portal

Learn about the different documentation on the Portal

Access and download operations guides, best practices, service documents, and preparation forms. Our documentation are split up into five different document types. 

These include:

Service Documents: 

  • Address Update Change Form: To authorize an institution to change the client's official mailing or residential address.
  • Corporate Treaty Statement Form: To determine eligibility for reduced withholding rates under an income tax treaty between two countries. Also known as the Limitation on Benefits Treaty Statement (NBIN-261)
  • Designation of Beneficiary Form: A legal document used to name or update the person(s), trust(s), or entity(ies) who will receive benefits. 
  • Electronic Funds Transfer Form: To authorize automated and secure fund transfers between a client’s bank account and their investment, insurance, or brokerage account.
  • Non-Registered Transfer Form: A form is a legal document that allows a client to transfer non-registered investments (i.e., not held in RRSPs, TFSAs, RRIFs, etc.) from one financial institution to another.
  • NR301: a Canadian tax form used by non-residents of Canada—such as individuals, corporations, or trusts—to certify their eligibility for reduced withholding tax rates on Canadian-source income under a tax treaty between Canada and their country of residence.
  • Client Consent Form: used to obtain a client’s formal permission to proceed with a specific action, share personal information, or provide a particular service.
  • Registered Transfer Form: standardized Canadian document used to transfer registered investment accounts from one financial institution (the “delivering institution”) to another (the “receiving institution”).
  • RESP Annex A: A supplemental form used to list extra beneficiaries when the primary designation form does not have enough space to include all intended beneficiaries.
  • RESP Beneficiary Change Form: A legal document used to appoint or change the beneficiary(ies) of a Registered Education Savings Plan (RESP) that is self-directed.
  • RESP Transfer Form: To authorize and initiate the transfer of an RESP account from the delivering institution (where the RESP is currently held) to the receiving institution (where the RESP will be transferred). Part A focuses specifically on the subscriber's instructions and consent.
  • RDSP Holder Consent Transfer Form: Used to obtain consent from the RDSP account holder to transfer their Registered Disability Savings Plan from one financial institution to another.
  • RDSP Transfer Form: Initiates the transfer of an RDSP account, including contributions and government grants/bonds, from one financial institution to another.
  • T1013 Form: Also known as "Authorizing or Cancelling a Representative", this CRA form allows a client to authorize a third party (like a financial advisor or accountant) to access their tax information.
  • Third-Party Online Access Form: Grants a third party (e.g., family member, assistant, advisor) permission to view or access a client’s account online, often for administrative purposes. 
  • Transfer Due to Marital Breakdown: Used to transfer investment or registered accounts from one individual to another due to divorce or separation, in accordance with a legal agreement or court order. 
  • W-8 Beneficiary Form: IRS form used by non-U.S. residents to certify foreign status and claim tax treaty benefits to reduce or eliminate U.S. withholding tax on income such as dividends.
  • W-9 Form: IRS form used by U.S. persons (citizens or residents) to provide their TIN (Taxpayer Identification Number) and certify their tax status for reporting and withholding purposes. 
  • Letter of Directions: There are many different LOD's that you can download which include: Email Change, Address Change, Name change, Phone number change, Date of Birth change, SIN number change, Third party banking authorization, Internal Transfer to Third Party, Estate settlement (Non-Registered and Registered), and Client authorization to share information. 

Operations 

  • Tax Preparation Best Practices Handbook: The Tax Preparation Best Practices Handbook is typically a reference guide created for internal teams  to ensure accuracy, consistency, and compliance when preparing client tax documents and filings.
  • Compliance Best Practices For Wealth Planners: The Compliance Best Practices for Wealth Planners is a guidance framework or handbook designed to help wealth planners adhere to regulatory requirements, protect client interests, and maintain ethical and legal standards in their day-to-day advisory work.
  • Optimize Expected Processing Timelines: Each service request falls into a specific timeline, with designated processing times based on complexity, required approvals, and external dependencies.
  • Estate Processing Requirements: The set of documents, procedures, and compliance steps that must be followed when handling the accounts or assets of a deceased client.
  • Account Administration Reports: These reports identify expiring documentation, registration or grant rejections, restricted accounts, and significant client milestones, ensuring proactive management and minimizing disruption.

Will Preparation Forms 

Will Preparation Forms are standardized or guided documents used to help an individual create a legal will, either with the help of a professional or through a self-directed process. These forms ensure that a person’s wishes for the distribution of their assets, guardianship of dependents, and executor appointments are clearly documented and legally valid.

Take a look at some of our Will Preparation knowledge base articles to understand more:

Tax Preparation Forms 

  • Personal Information Preparation Form: Personal Information Preparation gathers the bulk of the information needed for us to prepare your clients’ tax returns, and in some instances, may be all we need to process the request.
  • Home Office Expense: The Home Office Expense Prep Form is used to capture details about the client’s home office setup and related expenses. The information collected helps to calculate eligible home office deductions, which will reduce the client’s taxable income. 
  • Commissioned Employee Expense: This form collects information on common expenses incurred by commissioned employees while earning income. Deductions claimed through this form can reduce taxable income, providing valuable tax relief when prepared accurately.
  • Business or Professional Income: This form is essential for clients who are sole proprietors or professionals earning income outside of employment.
  • Real Estate Rental: This form is essential for clients who own rental properties and need to report rental income, claim related expenses, and provide property ownership details.
  • Appendix- Provincial Deductions: This form is essential for clients who may be eligible for provincial or territorial refundable tax credits.

Marketing Brochures  

Optimize Private Client Program: The Optimize Family Office Program is the cornerstone to the value brought to clients, through the Optimize Private Client Program. This, in concert with portfolio and investment management services, provides clients, with financial planning, tax preparation, will preparation, and insurance services. The differentiator is that these services are offered to all clients not just exclusively High Net Worth clients. Our Program was developed to increase the integration of clients' financial situation with their long-term plan and goals.