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OAPE 102 EN

03. Attestation

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1. Detailed procedure of the steps followed

The attestation update in Apexa includes 14 main steps, followed by a signing process.

  • Initialization: Click on the attestation period end notification on the dashboard.
  • Step 1 – Personal information: Validation of name, title, date of birth and work authorization.
  • Step 2 – Associates: Confirmation of incorporation and share ownership percentages.
  • Step 3 – Addresses: Verification of home and business addresses for the last 5 years.
  • Step 4 – Contact Information: Phone Number Validation.
  • Step 5 – Error and Omission (E&O) Insurance: Updated coverage to reflect current status (e.g., change from single person to incorporated business).
  • Step 6 – Licence: Confirmation of the validity of the AMF licence (e.g. insurance of persons).
  • Step 7 – Professional titles: Entry of the titles obtained or mention of current training.
  • Step 8 – Employment History: List of successive employers.
  • Step 9 – Banking Information: Delete obsolete personal accounts and validate corporate accounts for commission deposit.
  • Step 10 – Business history: Identification of partner insurers (optional for sole shareholders).
  • Step 11 – Sponsorship: Review and confirm that there is no change in sponsorship issues.
  • Compliance Section (6 steps):
    1. Affiliations: Other business activities or relationships.
    2. Personal information: Debts, wage garnishments or alimony.
    3. Bankruptcy: History of bankruptcy, assignment of property or proposals to consumers.
    4. Legal offences: Criminal history or guilty pleas.
    5. Disciplinary Action: Investigations, denials of licences or unresolved complaints.
    6. Policies and Procedures: Confirmation of E&O coverage and written policies (privacy, money laundering).
  • Document management: Download of up-to-date versions of policies (Privacy, Money Laundering, Conflicts of Interest, ABS).
  • Finalization: Final review of the attestation document and electronic signature via DocuSign.
  • Validation: The general agent signs the document before sending it to the authorities.