DIRECT BUSINESS PROCESSING-MUTUAL FUND

Mutual Fund Direct Business Application Way

  • • All Forms are required unless otherwise noted as “if applicable”
  • • Forward all documentation to your OSJ for approval
  • • Keep a copy for your records
  • • It is important to verify Breakpoints, see http://apps.finra.org/fundanalyzer/1/fa.aspx for a breakpoint analyzer.
  • • EReview all B share purchases to ascertain that the $49,999.99 threshold has not been exceeded
  • • Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva/.
BUSINESS TYPE PAPERWORK REQUIREMENTS SIGNATURE REQUIRED
New Account/New Business WIS Account Agreement Form Client, Rep, OSJ
  Fund Application and all accompanying documents Client, Rep
  Check (if applicable) Client
  Transfer Request (if applicable) Note: When transferring from one prospectus product to another that would create a new sales charge to the client or CDSC, a Request To Switch Investment Form must be completed Client, Rep
  Switch Letter (if applicable)
Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva/.
Client, Rep, OSJ
Existing Client—New Variable Annuity Order Account Information Form Client, Rep, OSJ if one has not been completed in the last 36 months
  Mutual fund Application and/or Letter of Instruction Client, Rep
  Check (if applicable) Clients
  Transfer Request (if applicable) Note: When transferring from one prospectus product to another that would create a new sales charge to the client or CDSC, a Request To Switch Investment Form must be completed Client Rep
  Switch Letter (if applicable)
Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva/
Client, Rep, OSJ
Adding to Existing Mutual Fund Account Check made payable to the Fund Company Client
  Write the account number clearly on the check.
Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva
 
INSURANCE Quick Links

CPS Insurance Services

Highland Capital Brokerage

Producer's Choice Network

TruChoice Financial Group
(The Annuity Store)

INSURANCE Quick Links

Highland Capital Brokerage

 

INSURANCE Quick Links

Producer's Choice Network

 

INSURANCE Quick Links

TruChoice Financial Group
(The Annuity Store)

 

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