Error Form

This form is to be used by a Branch/Branch Manager in the preparation of submitting to HO a report on each individual error. HO will prepare a report that will be shared with Branches on their monthly meeting.

Today's Date: (Required)

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Branch/Branch Manager: (Required)

Approved Person: (Required)

Approved Person Code:

Date of Error:

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Date of Correction:

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Dollar Amount of Error: (Required)

Who should be charged? (Required)

Client's Name: (Required)

Error made on which product? (Required)

Detail of Product:

Please provide: Mutual Fund/Insurance Company, Product name and any pertinent details.

Explanation of Error: (Required)

Please explain in details the nature of the error.

Resolution:

Please provide details regarding all resolutions, settlements, information and materials investigated upon.

Please attach all back-up to complete the file.

Please fax a copy of back up to 905-326-5405. This pdf will reference back to this error for.

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Error Form