Tip of The Week Oct 2023

Which of the following is not considered a security breach?

• a) Missing email disclaimer while sending a copy of a statement to an investor

• b) Providing SIN on file verbally to POA after full POA security check

• c) Stating specific dollar amount of MIN paid out for RIF to transfer-out receiving institution.

• d) Providing PAC information of an account to a transfer-out future advisor after security check

• e) None of the above

Who of the following is NOT authorized to access an “Estate of’ account

• a) Beneficiary on file

• b) Liquidator on last will and testament

• c) Executor on the Estates tab

• d) Financial advisor of record

• e) A and B

On spousal accounts, which of the following CANNOT be done after contributor passes through full security check?

• a) Modifying PAC

• b) E-mail a T4RSP to contributor

• c) Update contributor’s address

• d) Provide contribution amounts

Which of the following is considered an internal caller/correspondence security scenario?

• a) Account inquiry from a [e-mail] domain

• b) An account inquiry from CI HR Manager

• c) Account inquiry from an assante.com domain

• d) None of the above

• e) A and B

An FSR can provide a copy of the transfer form to the receiving institution after receiving the following. (Select all that apply)

• a) Account number

• b) Dealership name

• c) Cheque number

• d) Issue date

• e) Amount of cheque/A$M transfer  

Which of the following product types is NOT handled by Estates?

• a) Nominee mutual funds (non-LSIF)

• b) Segregated Perigee Nominee accounts

• c) Estate of accounts

• d) All of the above

• e) None of the above   

Which of the following can we do on an Estate call (Select all that apply)

• a) Ask caller to call in between 9:00 to 5.30 p.m. after calling in at 6 p.m.

• b) Provide caller with information in account memos created by the Estate service team.

• c) Warm transfer live calls to Estates queue after a complete security check

• d) Fill in the SF details, offer call back and change case from yourself to CI: Estates Services queue if queue is closed or busy.

Which of the following requests CANNOT be completed over the phone?

• a) WHT override rate on account level for RIF

• b) Increasing LIF MAX amounts by $500 or less

• c) Telephone redemption request of $5000 or less from CIG 648 by advisor

• d) Request by contributor to stop PAC running on a Spousal RRSP

Which of the following would be an appropriate subject line for a case resolved on first contact?

• a) "First Contact Resolution"

• b) "Stopped monthly IFE"

• c) "Security passed; inquiry handled" 

• d) A subject line is not required for FCR cases 

When attaching an outlook email to a Salesforce case what feature can we use?

• a) The post tab

• b) The related tab

• c) The feed tab

• d) The SF add-in