Transfer and Conversion Processes
Business Implementation Team
The goal of the Account Transfer and Conversion Team is to make the transfer of assets to TD Waterhouse quick and seamless for your business and your clients. This team manages the transfer of accounts, compiles all necessary paperwork, and works with the operations group to expedite the process.
Specialized expertise is available, as needed, for more complex account openings such as IPPs, Estates, Corporate Accounts, Formal Trusts, and RESPs.
Account Consolidation
For Investment Counsellors currently relying on multiple custodians, the simplicity of dealing with one custodian exclusively may hold particular appeal.
TD Waterhouse Institutional Services carries the administrative load when transferring assets from other custodians, helping to make the experience a smooth one.
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The asset consolidation process includes:
- The implementation plan. You are assigned a dedicated Project Manager who will design a step-by-step plan for your particular needs.
- Information gathering and management. While you focus on your clients, we organize the account data, client permissions, and paperwork behind the scenes.
- Asset transfer and follow-up. This process is completed along with our Operations Support Team.
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Implementation and Conversion Team
Whether your firm is starting up operations or bringing in a new book of business, TD Waterhouse Institutional Services will make the transition as seamless as possible for Introducing Brokers and their clients.
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Your implementation plan includes:
- Co-ordination of back-office support systems and platforms.
- Set-up of separate account range and Registered Representative codes; set-up of institutional management reports.
- Training on administrative processes and functions.
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If you are applying to become a member firm of the Investment Industry Regulatory Organization of Canada, we will assist you in the application process.
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