Order Entry Type Process: No Longer Added to EWMS

BRANCH ADMINISTRATION MANUAL

External Mutual Fund Pre-Authorized Debit (PAD) formerly known as Pre-Authorized Credit (PAC) – Client & Intermediary Name, Open and Registered Plans

Definition Formerly known as a PAC (Pre-Authorized Credit). A PAD is a voluntary accumulation plan whereby specific amounts are periodically withdrawn from the investor’s bank account to purchase mutual fund units. The term “External” denotes the fact that an entity other than DFS Investments is administering the Auto Instruction Plan. When ‘externally’ administered is selected, the Fund Company or the Intermediary is responsible for debiting the clients bank account and processing the investment transactions directly.

Order Entry Type Process: No longer added to EWMS Process Owner: Branch Follow Up: Branch With Whom: Fund Company/Intermediary

Forms, Paperwork Flow Form Branch HO Admin Fund Co  Mutual Fund PAD Form (New, Change, Stop) Some companies  Copy  NA  Fax may require that you use their Form  New Account Documentation - if required  Copy  NA  Fax & Original  Void Cheque  Copy  NA  Copy

Location: http://www.investdfsi.ca/sales_solutions/admin/forms/mutual_funds/index.php  Client and Advisor complete the Mutual Fund PAD form (confirm with fund company that DFS Investments documentation is acceptable)  Client provides VOID CHEQUE  Client and Advisor sign form – form MUST be signature guaranteed  Client is provided with copy of form for their records. Copies are also placed in client file at the branch  Forms must be sent directly to Fund Company or Intermediary.  External PADs are no longer set up on EWMS.

EWMS Process  NA

Important Information  Must include a copy of VOID CHEQUE  Ensure the fund allocation details are clear and the fund code(s) specified are accurate

Confidential, for internal use only - 1 - last revised: 8-Apr-2018 | Volume 1