Assante Foundations Week 1 Review

What are the main transaction types? (Select all that apply)

• Buy

• Switch

• Sell

• Deposit

• Withdrawal

Which administration types are available at Assante (Select all that apply)

• Nominee

• Registered

• Client Name

• Demand

• Third Party

Money in an account will sit here before it is invested. It is called:

• Money Market

• Demand

• Nominee

• Intermediary

If you receive a call asking for DSC information you can:

• Van use eCISS to find the answer

• Can use RPM to find info

• Redirect the caller to the Fund Company

• Transfer the call to Assante DSC team

Which documents are required to open a new Nominee RRSP (select all that apply)

• NAAF

• Registered Account Application

• Client ID

• Locked in Addendum

• W8-BEN

The number of NAAFs required is based on...

• Account Administration Type

• Ownership

• Account type

Which systems does the branch use to open accounts electronically?

• Salesforce

• SmartDox

• PureFees

• eCISS

• Docusign

Which documents must be submitted to Assante when opening Client name TFSA account

• NAAF and TFSA Application form

• Everything must be submitted to the Fund Company

• NAAF