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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

  • A client is opening or transferring a locked-in account and the agreement requires custodian sign-off.

  • The locked-in agreement must be attached to the transfer paperwork for processing.

  • 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:

  1. Navigate to the Client's CRM Contact Record
  2. Go to the Servicing Tab
  3. Select "Account Administration → Special Handling 

  4. Select "Signature for Locked-In Agreements" as your request type

  5. Select the Target Account

  6. In the form that appears, complete the required details:

    • Relinquishing Institution – select the institution from the dropdown menu

    • Relinquishing Institution Account Number – enter the account number at the originating institution

    • Document Type – this will default to Locked-in Agreement

  7. Upload the Signed Locked-In Agreement form:

    • Ensure the agreement has been signed by the client

    • Confirm that the account selected in the CRM matches the one listed on the form

    • Click + Add File to attach the signed agreement


  8. Review all details carefully to ensure accuracy

  9. 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.