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, and Trust accounts.
You can submit an Authorize Information Sharing update from a client’s CRM Contact Record. Follow the steps below to ensure all required information and documents are submitted correctly.
When to Submit an Authorize Information Sharing Request
- A client wants to add or update an individual authorized to receive information about their Optimize account.
How to Submit an Authorize Information Sharing Request
To submit an Authorize Information Sharing request, use the Service Extension on the client’s CRM Contact Record. When submitting the request, there are two distinct submission methods and workflows: Manual Submission, which involves uploading a scanned or physically signed document, and Straight-Through Processing (STP), which automatically generates the required forms and sends them to the client through DocuSign.
How to Submit an Authorize Information Sharing Request using Manual Submission
- Navigate to the Client’s CRM Contact Record.
- Go to the Servicing Tab.
- Select Account Administration → Update Client & Account Information.
- Choose Authorize Information Sharing as the request type.
- Select Manual Submission
- Enter the Authorized Individual’s Details within the same submission form:
- Authorized Individual Name – The full name of the authorized individual.
- Authorized Individual Relationship to Client – The individual’s relationship to the client (e.g., spouse, legal representative, etc.).
- Authorized Individual Phone Number – The authorized individual’s contact number.
- Authorized Individual Email– The authorized individual’s email address.
- Upload the required document:
- Attach the completed and signed Letter of Direction – Information Sharing Authorization.
- Review & Submit
- Once all fields and documents are completed, click Submit to create the service request ticket.
Tip: Double-check that all contact details and the Letter of Direction are complete and correct before submitting.
How to Submit an Authorize Information Sharing Request using STP
- Navigate to the Client’s CRM Contact Record.
- Go to the Servicing Tab.
- Select Account Administration → Update Client & Account Information.
- Choose Authorize Information Sharing as the request type.
- Select Straight-Through Processing
- Enter the Authorized Individual’s Details within the same submission form:
- Authorized Individual Name – The full name of the authorized individual.
- Authorized Individual Relationship to Client – The individual’s relationship to the client (e.g., spouse, legal representative, etc.).
- Authorized Individual Phone Number – The authorized individual’s contact number.
- Authorized Individual Email – The authorized individual’s email address.
- Review & Submit
- Once all fields are completed, click Submit to create the service request ticket.
Please Note: Once you submit the request, the ticket will be created and the client will be automatically sent the paperwork by DocuSign. The ticket cannot progress further until the client reviews the paperwork and electronically signs through DocuSign.
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
- Manual Submission: Typically 10 business days after the ticket has been submitted and completed any applicable review.
- Straight-Through Processing: Typically 1 business day after the ticket has been submitted and completed any applicable review.