Process Exceptions

Fundserv is a business to-business electronic network with world-class transactions processing applications, servicing the Canadian investment industry.

Welcome,

The Fundserv ‘Processing Exception’ list is your centralized resource to identify the various fund company processing exceptions.
This list is maintained by Fundserv and is vetted by the participating fund companies. Any changes, additions or discrepancies should be forwarded to
standards.adherence@fundserv.com.

Legend

Y = Yes N = No T = 10% free only
M = Matured F = 10% free + matured units H = 50%/50% must be placed in units
MM = Money Market * = Book as number of units (shares). If all shares are mature, book as (All Shares). B = Yes, but not for beneficiary
D = Yes, but not for DSC P = Cannot transact units or percentages in a Portfolio fund, only a dollar amount. Remaining funds can be transacted by units and percentages. N/A = Not applicable to Manufacturer
  –   = No data available

Transaction Exceptions



Non-Financial Updates Exceptions