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Send an Order for Remediation

If a subscription is not in good order (NIGO), you can add a comment and send it back to the investing org.

1

Display the order

  1. Find the corresponding fund in the Fund List.

  1. Click the fund name link.

  2. Find the order in the Subscriptions Received tab.

  1. Click the lot ID link.

2

Start remediation request

  1. Click Send for Remediation.

  1. Click Go to Comments.

3

Add one or more comments

To provide one or more comments:

  1. Click Add Comment.

  1. Use the following table to complete the form.

Item/Section
What to enter/do

Reason

Choose a reason for the comment: - Tax Document Deficiencies - Investor Information and AML/KYC Issues - Sub Doc Issues - Account Issues - Transaction Data Issues - Other Issues

Document

If applicable, select the attached document associated with the comment.

Page Number

If a document was selected, specify the page number that the comment is associated with.

Error Type

If a document was selected, select the associated error type: - Mismatched - Incomplete - Incorrect - Other

Error Type Details

If Other was selected for Error Type, provide details to explain the nature of the error.

Error Category / Section

(Optional) Provide the section of the page containing the error.

Comments

Enter the comment text.

  1. To include additional documents with the comment, click Upload Document and select the documents.

  2. If you have additional comments for this lot, select Confirm and add another comment.

  3. Click Confirm.

4

Send request and selected comments

  1. Select the comments to share.

  2. Click Send for Remediation again.

Note: Once assets are remediated, they return to the "incoming subscription" list.

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