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How to Submit an Updating Account Legislation Request

Learn how to update the legislation governing a client’s account

Applies To: 

  • All Portfolio Managers, Advisors, Wealth Planners, and support staff.
  • Eligible account types: LIF, LRIF, and LIRA accounts.

You can submit an Updating Account Legislation request from a client’s CRM Contact Record. Follow the instructions below to ensure all eligibility requirements, and legislation information are accurately completed.

When to Submit an Updating Account Legislation request:

  • A client’s account needs to be updated to reflect new or corrected legislation.
  • The client has moved to a different province or jurisdiction, requiring a legislative update.
  • The account must comply with updated regulatory requirements.

How to Submit an Update Account Legislation Request

To submit an Update Account Legislation request, you'll use the Service Extension on the client's CRM Contact Record. When submitting the request, there are two distinct submission methods and workflows: Wet Signature, which involves downloading the pre-populated document and getting it physically signed. Electronic Signature, which automatically generates the required forms and sends them to the client through DocuSign.

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

Learn more about Wet Signature Flexibility

How to Submit an Update Account Legislation Request 

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

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

  4. Select "Update Account Legislation" as your request type.

  5. Select the appropriate Account.

  6. Select the appropriate submission option, either Wet Signature or Electronic Signature.

  7. Select the appropriate legislation province from the dropdown list

    • Depending on the province chosen, an additional dropdown will appear, prompting you to select the necessary information to proceed

  8. Review and Submit
    • Once you confirm the details, click Submit to create the service request ticket

Please note:  After submitting your request, the system will automatically create a ticket and send the paperwork directly to your client via DocuSign for electronic signatures.

If you select the wet signature option, you'll need to download the pre-populated forms for your client to sign manually.

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

  • Electronic Signature Submission: Typically 1 -3 business days after the ticket has been submitted and completed. 
  • Wet Signature Submission: Typically 10 business days after the ticket has been submitted and completed any applicable review.