Assante BP Transfers Refresher

What documents are required to rollover an individual RRSP account to a RIF?

• E-mail with the Instructions

• TARI

• A LOD signed by the advisor if the owner/annuitant is the same under both plans.

• New NAAF

One of the following documents is required to process an in‐kind contribution (Select all that apply)

• In‐Kind Contribution of Funds Application AWM-1328

• Order Ticket

• LOD signed by the client and signature guaranteed

• Advisor signed LOD if the owner/annuitant is the same under both plans

What documents are required to transfer assets out of an Individual RRSP or RRIF due to a marriage breakdown? (Select all that apply)

• T2220, signed by both parties

• LOD with the instructions

• T2220 signed by one spouse, and a copy of the divorce decree or separation agreement.

• T2033

What is the ACM RRSP Specimen Plan Number?

• 1707

• 418-075

• 418-078

• 418-077

Assistant Cindy is calling to find out what documents are required to transfer a CN RRSP to NN RRSP at Assante.

• LOD signed by a client

• ACM/AFM TARI

• T2151

• ACM/AFM TANRI

On August 1st a client is transferring out his NN TFSA and NN RRSP to TD. What is the total fee amount that will be charged?

• $225 plus tax

• $325 plus tax

• $125 plus tax

• $200 plus tax

What Documents are required for an electronic registered transfer out to Investors Group?

• None, only RFT on ATON

• TARI

• T2033

• LOD with the signature guarantee

What are the Qualifying conditions for the Federal Small Amount Unlocking? (Select all that apply)

• Be at least 55 y.o.

• Be unlocking from a LIF, RLIF, RLSP or LRSP

• Have less than 50% of the YMPE in all Federal locked-in plans

In -kind/In-cash contributions transfers on ActionPro are available between nominee accounts only.

• True

• False

If a financial institution is ATON participant, a manual transfer request will be rejected.

• True

• False