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How to Initiate a Transfer

Learn how to submit a request to Initiate a Transfer

Applies To:

All Portfolio Managers, Advisors, Wealth Planners, and support staff.

Eligible account types: Cash, Margin, TFSA, RRSP, RRIF, FHSA, RESP, RDSP, LIF and LIRA.

You can submit an Initiate a Transfer request from a client’s CRM Contact Record to Add Funds to a client’s Optimize investment account. Use the instructions below to ensure the account is eligible, the correct banking details are on file, and that you’ve accounted for any contribution limits or special account-type requirements.

When to Submit an Initiate Transfer request

  • The client’s authorization to initiate the transfer.
  • Accurate account details, including the relinquishing institution and account number.
  • The correct transfer authorization form completed and signed for manual submissions.
  • Confirmation of whether the transfer will be done in-cash or in-kind.

How to Submit an Initiate Transfer request

To submit an initiate transfer, use the Service Extension on the client’s CRM Contact Record. The general instructions below apply to most account types. If transferring via STP from an RESP see the specific account instructions provided.

Although both methods are valid, we strongly recommend using Straight Through Processing whenever possible for real-time tracking, reduced errors, and faster turnaround times.

Learn more about Straight-Through Processing.

How to submit an initiate transfer requests manually (General):

Choose this method if the client has provided a signed authorization form.

  1. Search for the client’s contact in the HubSpot Search bar and open the client’s CRM Contact record page.
  2. Navigate to the Servicing (Service Request) tab in the middle panel of the contact record.
  3. Click on Cash and Security Management → Add Funds.


  4. Select 'Initiate a Transfer'.


  5. Select the account from which you wish to initiate the transfer.


  6. Select Manual Submission.


  7. Enter the relinquishing institution, account number, and client type.


  8. Attach the required documentation (For Existing Client):
    • For registered accounts, attach a signed NBIN-T04 Transfer Authorization for Registered Investments form.
    • For non-registered accounts, attach a signed NBIN-302 Authorization to Transfer Non-Registered Account form.
  9. Review the details carefully, then click Submit.

Tip: Double-check that the uploaded form is fully completed and signed to prevent processing delays.

How to submit an initiate transfer requests through STP (General):

With STP, Optimize automatically generates and sends the necessary forms to the client for electronic signing through DocuSign.

  1. Search for the client’s contact in the HubSpot Search bar and open the client’s CRM Contact record page.
  2. Navigate to the Servicing (Service Request) tab in the middle panel of the contact record.
  3. Click on Cash and Security Management→ Add Funds.
  4. Select 'Initiate a Transfer'.
  5. Select the account from which you wish to initiate the transfer.


  6. Select Straight Through Processing 


  7. Enter the relinquishing institution, account number, and address.
  8. Confirm the transfer amount and choose either 'All in Cash' or 'Partial'.
  9. Review the details carefully, then click Submit.
  • Your client will receive DocuSign forms via email for confirmation.

How to submit an initiate transfer requests through STP (RESP)

    1. Search for the client’s contact in the HubSpot Search bar and open the client’s CRM Contact record page.
    2. Navigate to the Servicing (Service Request) tab in the middle panel of the contact record.
    3. Click on Cash and Security Management→ Add Funds.
    4. Select 'Initiate a Transfer'.
    5. Select the account from which you wish to initiate the transfer.
    6. Enter the relinquishing institution, account number, and address.
    7. Select one of the following options:
    • Option A 
    • Option B
    • Option C 
    • Option D 

        8. Confirm the transfer amount and choose either 'All in Cash' or 'Partial'.

        9. Review the details carefully, then click Submit.

    • Your client will receive DocuSign forms via email for confirmation.

    Please Note: Remind your client to check their email (including spam folders) for DocuSign documents. The transfer request is not complete until the forms are electronically signed.

    After Submitting the Request

    A new service request ticket will be created. You can locate it:

    • In the Right-Side Panel of the client's CRM Contact Record under Tickets.
    • In the Add Funds Pipeline, where you can track the progress and confirm when the request is completed.

    Processing Timelines

    • Manual Submission: Typically 7-11 business days after the ticket has been submitted and completed any applicable review.
    • Straight-Through Processing: Typically completed within 1 business day of receiving signed documents.