How to Request Signature for Locked-In Agreements
Request a locked-in agreement to be signed by the custodian through the client’s CRM Contact Record
Applies To:
- All Portfolio Managers, Advisors, Wealth Planners, and support staff.
- Eligible account types: Cash accounts, Joint accounts, Margin accounts, TFSA, RRSP, RESP, RDSP, FHSA, RIF, LIF, LIRA, and Trust accounts.
You can request a signature for a locked-in agreement directly through the CRM using the instructions below. This ensures that the appropriate documentation is reviewed and signed by the custodian in a timely manner.
When to Submit a Signature Request for Locked-In Agreements
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A client is opening or transferring a locked-in account and the agreement requires custodian sign-off.
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The locked-in agreement must be attached to the transfer paperwork for processing.
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You need to obtain custodian validation before submitting additional documentation (e.g. pension unlocking forms).
How to Submit a Signature Request for Locked-In Agreements
To request a custodian signature on a locked-in agreement, follow the steps below:
- Navigate to the Client's CRM Contact Record
- Go to the Servicing Tab
- Select "Account Administration → Special Handling
- Select "Signature for Locked-In Agreements" as your request type
- Select the Target Account
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In the form that appears, complete the required details:
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Relinquishing Institution – select the institution from the dropdown menu
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Relinquishing Institution Account Number – enter the account number at the originating institution
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Document Type – this will default to Locked-in Agreement
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Upload the Signed Locked-In Agreement form:
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Ensure the agreement has been signed by the client
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Confirm that the account selected in the CRM matches the one listed on the form
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Click + Add File to attach the signed agreement
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Review all details carefully to ensure accuracy
- Click Submit to generate the service request ticket
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 Account Administration Pipeline, where you can track the progress and confirm when the request is completed.
Processing Times
- Typically 5-6 business days after the ticket has been submitted and completed any applicable review.