METS User Manual
Contents
1. Event Status Either Pending Concluded Subject MemberFim Individual asas MemberRef Member Event Type ec 81 Status Detail vo MEER ES FOCACA ae fim sed Advisor John Pending Pria by JenniferJones 11 02 2011 11 02 2011 enm 1 items in1 pages METS Version 2 0 Copyright 2012 Mutual Fund Dealers Association of Canada All Rights Reserved Click the METS Reference Number of a particular event to view its Event Report Form If after viewing the Event Report Form you wish to return to your search results click the Return to Results button at the top of the page If you wish to edit the event click the Edit Event button METS User Guide Page 38 of 40 DM 171496v3 8 VIEW EVENT DETAILS Every METS user has the ability to view Event Details Users can only view Event Details of events that pertain to their Member To View Event Details 1 Search an Event 2 In the search results click on the METS Reference Number to open the Event Report Form for that event 3 You now have the option to print the Event Report Form or view it in PDF format 9 REPORTS The View Reports tab on the top right of the METS screen allows you to create Reports by Subject Event Type Branch Province State Initiation Date Date Recorded or Status You may also select the format of the report PDF or Excel 91 Run a Report 1 Click the View Reports tab on the top right of the M2. Mutual Fund Dealers Association of Canada MFDA e I Association canadienne des courtiers de fonds mutuels Change Password Login Name jtestingreader testing ca Password ZE New Password mmm Verify New Password eeesesees Cancel Copyright 2009 Mutual Fund Dealers Association of Canada All rights reserved 3 Click Save If you fail to properly confirm your new password you will receive an error message Try again If you are successful you will see this message and be returned to the Login screen so that you can login with the new password Your password has been changed succestully and you hawe been logged out You will be redirected back to the login screen in few seconds METS User Guide Page 6 of 40 DM 171496v3 4 in your Login and Password and click Login 1 4 METS Access Your access and rights on the METS site will be determined by your assigned status Each MFDA Member has one assigned METS Administrator and usually one or more METS Authors and Readers METS Administrators One METS administrator is assigned to each Member Members can request additional administrators by emailing MFDA Membership Services at membershipservices mfda ca METS Administrators are responsible for assigning and maintaining Member Authors and Readers They have the ability to enter edit and view events and delete unsubmitted events METS Authors There can be multiple Authors at
3. Event Deleted Managing a METS Event Modify Event Event Revisions visible to MFDA and other Firm users Event Revisions NOT visible to MFDA Document Audit The Document Audit section of the Event Report Form displays the history of changes that have been made to an event This includes the Revision Number the date and time the event was edited what Event Report Form section was edited and the user who performed the editing Revision Number METS User Guide DM 171496v3 Created FIRM TEST METS 09 07 2012 2 15 36 PM Last Modified FIRM TEST METS 09 17 2012 12 00 47 PM Details Rev Date and Time User Activity Activity 0 09 07 2012 2 15 36 PM FIRM TEST METS Event created Event created 0 09 07 2012 2 26 34 5 5 Subject member relationship modified Subject member relationship modified 0 09 12 2012 10 43 19 AM FIRM TEST METS Nature and scope of allegations modified Nature and scope of allegations modified 0 09 12 2012 10 45 22 AM FIRM TEST METS Nature and scope of allegations modified Nature and scope of allegations modified 0 09 12 2012 10 54 07 AM TEST METS Member response modified Member response modified 0 09 12 2012 10 54 22 AM FIRM TEST METS Status modified Status modified 0 09 12 2012 10 54 38 AM FIRM TEST METS Investigation end date is not a valid date Investigation end date is not a valid date 0 09 12 2012 10 55 08 AM FIRM TEST METS Status modified Status modified
4. 0 09 12 2012 10 55 47 AM FIRM TEST METS Member response modified Member response modified 0 09 12 2012 10 55 51 AM FIRM TEST METS Status modified Status modified 0 09 12 2012 10 56 00 AM FIRM TEST METS Event submitted Event submitted 1 09 12 2012 10 57 22 AM FIRM TEST METS Event re opened Event re opened 1 09 12 2012 11 02 51 AM FIRM TEST METS Nature and scope of allegations modified Nature and scope of allegations modified 1 09 12 2012 11 04 23 AM FIRM TEST METS Member response modified Member response modified 1 09 13 2012 9 31 33 AM TEST METS Status modified Status modified 1 09 13 2012 9 31 40 AM FIRM TEST METS Event submitted Event submitted 2 09 13 2012 9 31 56 AM FIRM TEST METS Event re opened Event re opened 2 09 17 2012 12 00 17 PM FIRM TEST METS Nature and scope of allegations modified Nature and scope of allegations modified 2 09 17 2012 12 00 41 PM FIRM TEST METS Member response modified Member response modified 2 09 17 2012 12 00 44 TEST METS Status modified Status modified 2 09 17 2012 12 00 47 PM FIRM TEST METS Event submitted Event submitted Link to previous version of Event Page 34 of 40 Note The revision number of an Event starts at 0 Any time an Event is submitted and reopened the revision number of the event goes up one from 0 to 1 and so on Each time an Event is reopened a copy of it as it was when it was last submitted is stored in the Audit history This previous version will
5. DM 171496v3 1 7 Home Screen Once METS is selected a new window will open that brings you to the METS homepage On the homepage you may view recent METS notices METS notices relay important information about updates to the system planned system outages and other information that is relevant to METS users The homepage contains a summary box of your Events that have not yet been submitted to the MFDA customer complaints that are pending by age and your recently edited events You may view the events in each section by clicking on the drop down menu provided FRANCAIS HELP CONTACTUS SETTINGS LOGOUT Welcome METS FIRM TEST a View Reports Wie METS Select Account Testing Firm MFDA v Search g Manage Events Welcome to the MFDA s Member Event Tracking System METS METS Notices METS is an electronic reporting system that allows members to report information as required by MFDA Rule 1 2 5 and Policy 6 Parts A and B METS Notice Outage September 6 2012 The METS system will be under maintenance on Thursday September 6 from 8 10 PM EST Please contact METS support at mets mfda ca if you have questions End of METS Notices Summary Box Events that are not submitted to MFDA o Customer Complaints that are still pending 9 Recently Edited 10 Today 9 90 Days z This Week 0 90 120 Days 0 Last Week 120 180 Days 0 Older 0 gt 180 D
6. appear as a link which when clicked will open the previous version of the event Report 5 REOPEN AN EVENT If you receive additional information relevant to an event after submitting the event you may re open it To Reopen click the Edit Event button Once reopened an event should be re submitted after any updates have been completed The system will retain a copy of all data in the event report form as it appeared when initially submitted To view the previous version open the Document Audit section of the Event Report Form An event that has been reopened will display a revision number in the Event Report Form header FRANCAIS HELP CONTACT US SETTINGS LOGOUT Welcome METS FIRM TEST 36 5 Premi 545 Manage Events View Event New Event 7 Edit Event imb Print PDF Member Testing Firm MFDA Revision Status In Progress Subject Advisor John Not Submitted to MFDA Event Type Customer Complaint METS Ref rev 2 Status Pending Member Ref Date Recorded November 02 2011 6 DELETE AN EVENT You may delete an event up until the point the event is submitted to the MFDA Events that have not been submitted to the MFDA may be deleted by the user The Delete Event button is located at the top right of the screen next to the options to print and PDF METS User Guide Page 35 of 40 DM 171496v3 If you have submitted a duplicate event you must contact MFDA METS Support Once
7. exact match exists to the values you entered NOTE If you click the search button without entering any search criteria all individuals entered by your Member will be included in your search results METS User Guide Page 17 of 40 DM 171496v3 Once you have entered your search criteria click Search You will be presented with a list of results matching your query Search Individual Subject e Search Individual Subject In any part of First Last or Middle Name Advisor NRD Number Province of Residence x wcrc Title Name Province of NRD Number Gender Birth Date Comments Individual Residence iii Advisor John 0 Male sana 907640 12 00 00 AM 1 items 1 page If the desired individual is found click on the Radio Button next to the name to select it Click Select and you will be returned to the Event Report Form If the desired individual is not found but you are certain the individual has been added attempt another search using broader search criteria Use jo instead of Joseph for example If the Subject is not in METS you can click the Add New Subject button METS User Guide Page 18 of 40 DM 171496v3 3 3 4 Add New Subject If the individual has not been entered previously for your Member you will have to add them to METS by clicking the Add New Subject button which will bring up the new subject fields To add a new individual for your Member includ
8. listed in the Nature and scope section this area allows the Member to show that more less or different allegations may be identified by Member staff than may have been alleged by a customer For example the Member may receive a complaint alleging theft but upon further review the Member finds that a fund merger caused the customer to misread a statement and believed her money had been removed from her account As a further example a customer may raise suitability concerns while the Member may find that the Approved Person had pre signed forms in the client file and note the blank signed form allegation in this section METS User Guide Page 27 of 40 DM 171496v3 Welcome METS FIRM TEST e View Reports Manage Events Edit Event X Delete Event daw Print 2 PDF Enter Event Type and P Edit and Save Event Review and Submit Subject Type Report Form er Event Report Form 4 7 Subject Branch Related Events 2 Nature and Scope of Allegation Member Response 7 Status of Event Document and Document Audit Member Testing Firm MFDA Revision Status New Subject Advisor Joe Not Submitted to MFDA Event Type Criminal Charge METS Refs 172B07 0 Status Pending Member Ref Date Recorded September 18 2012 Member reference Joe Advisor Fraud Charge Contact person for report Bluse Phone Email Jennifer Jones jjones metstestfirm com Margaret Brown mbrown metstestfirm com John Johnson jjohnso
9. 2012 5 Date of Resolution This field is required for all concluded events This relates to the primary event not any actions stemming from that event For example if a customer complaint is reviewed and found to have merit the Member may make an offer of settlement The date this offer is made is the date of resolution Acceptance of the offer is not required Even if the Member also terminates the Approved Person in relation to this complaint two weeks later the date of resolution does not change METS User Guide Page 31 of 40 DM 171496v3 6 Procedure for creating and managing a METS event New for METS 2 0 is the ability to create event and save your progress without submitting it to the MFDA Events that are not submitted to the MFDA appear on the Home page under the drop down menu called Events that are not submitted to MFDA The MFDA can not view events that have not been submitted Events that have not been submitted may be deleted by the user using the Delete Event button see part 6 of this Manual 7 Managing a METS Event See Flowchart on following page METS User Guide Page 32 of 40 DM 171496v3 Events can only be deleted by the user if they are not yet submitted to the MFDA If the Event has already been submitted only the MFDA can delete the Event Revisions to an Event cannot be deleted without deleting the entire Event METS User Guide DM 171496v3 New Version Created
10. 4 SPECIAL NOTES CREATING AN 20 4 5 Dn Cua eU SUN eS eo DU E A EEA EE 21 4 1 EVENT REPORT BEORM LEIBS 4 te esee e en Deos ett Deest a a Dese Une e pede eee 21 4 2 OPEN EVENT REPOR MED FORM 21 4 3 SUBJECT MEMBER REEXTIONSHIP 22 4 4 BRANGED 5526 23 4 5 REIGATED RAVA SINUS E 24 4 6 NATURE AND SCOPEOEAELEGXATION 24 4 7 MEMBER RESPONSE ete ettet ER ette ete e Deka b eb a e Fo ase bb eee b AE M eda tobe Week vat P dee Re a Ee bee roses 21 4 8 og cided ice Nee eM ME ran OI gd Toa a ata odd E OM d 30 4 9 STATUS OF THE EVENT SIS NER 30 5 REOPEN AN EVENT aee 35 6 DELETE AN EVENTS ETENEE E E E A 35 T SEARCH AN DAA D ERTES E ERES E TEENE EET E E EE EREE A S 37 METS User Guide Page 2 of 40 DM 171496v3 5 VIEW EV D EVI DA VR IP oce 39 Pic T
11. 71496v3 4 3 Subject Member Relationship The Subject Member Relationship is a description of the Subject s relationship to the Member at the time the event occurred Member Testing Firm MFDA Revision Status New Subject Not Submitted to MFDA Event Type Criminal Charge METS Refs 172B07 0 Status Pending Member Refs Date Recorded September 18 2012 Subject is an individual Subject member relationship Current employee agent event occurred here g Individual ID Current employee agent event occurred here Current employee agent event occurred at past employer Last Name Former employee agent event occurred here First Name Former employee agent event occurred at past employer Middle Name Title Province Of Residence NRD Number Gender Birth Date Comments Select the current relationship to the individual from the four options in the drop down menu e Current employee agent event occurred here e Current employee agent event occurred at past employer e Former employee agent event occurred here e Former employee agent event occurred at past employer Note This section is not editable if you selected Member at event creation METS User Guide Page 22 of 40 DM 171496v3 4 4 Branch Note The Branch is the registered location where the subject was working at the time the event allegedly occurred Member head office addresses are included in METS and are
12. DA strongly urges Members to complete is Complainant Information The greater the volume of information passed along to the MFDA the easier it will be for the MFDA to assess the Event Under this heading one of the fields is Duration of Activity Duration of Activity is the approximate start and stop dates of the misconduct related to the primary allegation METS User Guide Page 24 of 40 DM 171496v3 e Client complains about suitability of investments The start date would be the day the initial investment was made end date would be the day the investment s was sold or if the client is still invested the day the complaint was received e Client complains about transfer delay The start date would be the day the transfer was initiated The end date would be the day the investment s was sold transferred The other fields that are available to be completed may vary depending on the Event Type you choose Different information related to the event type selected will be required For example if External Disciplinary Action was selected you will be required to indicate the Regulatory Body imposing the discipline The list of Violation Types is also dependent on the Event Type you have selected and therefore may differ from one event to the next In the screen shot below Criminal Charge was selected so the list of violation types is reduced and you must provide a Court File Number 1 Select the check boxes of all
13. ETS window 2 Choose a Report type Subject Event Type Branch Province State Initiation Date Date Recorded or Status 1 Select the desired format of your report PDF or Excel Your report will open in the format you selected with the standard options to print save etc 10 Special Member Selection Screen Most METS Users will have access to METS for one Member only however when two or more Members are related at a corporate level the Members may request that certain users be permitted to have access to METS for more than one related firm You may verify which account you are in or change accounts at any time by referencing the drop down menu at the top left side of the screen METS User Guide Page 39 of 40 DM 171496v3 11 HELP amp SUPPORT If you have questions regarding METS please contact Membership Services METS support via email at METS mfda ca Or by phone at 1 888 466 6332 METS User Guide Page 40 of 40 DM 171496v3
14. Leveraging Supervision Trading Outside Jurisdiction Transfer Accounts Unauthorized Discretionary Trading Other Other No disciplinary action Other Effective Date METS User Guide DM 171496v3 Page 29 of 40 4 8 Comments If you any Comments information or updates to add that don t fit or aren t appropriate in other fields you may type or and paste them into the Comment space Adding extra information to your METS report is always useful for any MFDA staff reviewer The comment field can contain approximately two standard pages of text 4 9 Status of the Event 1 Initiation Date Set at the time the event was created You may correct it if you made a mistake at the time of event creation 2 Status Pending In the process of resolution may or may not be submitted to the MFDA e Concluded When the event has been resolved you should update the status to concluded and re submit it to the MFDA Most Event types are created with the Event Status set to Pending There are 2 exceptions Denial Cancellation Suspension or Termination of Registration or Approval and Termination Compensation Paid to Client and Internal Discipline not otherwise reported above These are both automatically set to Concluded because these events have already come to a conclusion by triggering of the reporting obligation However the status may be changed to Pending by the Member where appropria
15. NAFDA METS User Manual Last Updated February 22 2013 METS User Guide Page 1 of 40 DM 171496v6 Table of Contents T GELCTING STARTED ELO Lc 4 1 1 SYSTEM REQUIREMENTS FOR METS USERS roesini dee eo e oa ert aces dae e ae ea eere eee eE ban 4 1 2 EOGGINGIN TO MERES E AAEE D On n nennt TA 5 1 3 CHANGING YOUR PASSWORD vetus Aie tom 6 1 4 ME ES ACCESS IC Seta UM 7 1 5 FORGOT N 20 deduced 8 1 6 WELCOME SCREEN Eee ts eese tete noe ete sete ee 8 1 7 HOME SCREEN 9 2 NAVIGATING THE METS SYSTEM 2 5 esae oa ep PESE NE eee sse doe Poe 11 3 13 31 oec ro Nette uem ttd mud attitude tumet ettet date em eter 14 3 2 TIEREN 15 3 3 SIUE OH vau RO rTL IT 15 3
16. a 39 Udo SRONA REPORT c atu ctr acm ta aon Seccion luis reme nice 39 10 SPECIAL 52055 sssri besos oe Reuben pe pk aie un resti 39 11 40 METS User Guide Page 3 of 40 DM 171496v3 1 GETTING STARTED In this section you will be presented with information regarding System requirements Logging in to METS Changing your password Forgotten password Welcome screen 1 1 System requirements for METS users Please note METS has certain minimum system setting requirements Microsoft Internet Explorer and Mozilla Firefox only Versions supported are e Internet Explorer 8 e Internet Explorer 9 e Mozilla Firefox 14 IE browser must be set to e Enable cookies Adobe Reader 9 The MFDA METS Administrator will provide each Member Administrator their METS Login and initial password It is the responsibility of each Member Administrator to set up Member user accounts Please consult the Members Only User Management Manual on the Members Only website for more information on how to administer METS users in Members Only METS User Guide Page 4 of 40 DM 171496v3 1 2 Logging in to METS 1 In your Internet browser go to www mfda ca and click on the METS link in the Quick Links list Alternatively cl
17. an event has been submitted only the MFDA can delete an event A deleted event is virtually deleted for Member users and for most reports The deletion is noted in the document audit Revisions to an Event cannot be deleted without deleting the entire Event FRANCAIS HELP CONTACTUS SETTINGS LOGOUT Welcome METS FIRM TEST MEDA lif METS ene 4 N e View Reports Manage Events View Event sh New Event Edit Event Member Testing Firm MFDA Revision Status New Delete Subject Advisor Jenny Not Submitted to MFDA Event Event Type Bankruptcy METS Ref C28B48 rev 0 B u tto n Status Concluded Jenny Advisor Bankruptcy September 10 2012 o Are you sure you want to delete the event Subject is an individual Individual ID 909257 Last Name Advisor First Name Jenny Middle Name Title Province Of Residence Ontario NRD Number 12345 Gender Female Birth Date 1 1 1970 Comments METS User Guide Page 36 of 40 DM 171496v3 7 SEARCH AN EVENT Search and Report screen tips The basic search fields are Complainant name METS Reference Number Event Type Violation Type Date of Initiation Date Recorded Status and Subject Type If the Individual radio button is selected you may also search by any part of the First Last or Middle Name NRD Number and Province State These options are not available if Subject type is All or Member Firm For Event Type and Violation Type choose the appropria
18. applicable Violation Types If the violation you are reporting is not presented in the list there is a choice of Other METS User Guide Page 25 of 40 DM 171496v3 Amount dispute Not applicable Amount Country Canada Other Province State NB New Brunswick v Other Court File Number NBCJ 12345 Violation Type Select Primary Blank Signed Forms Falsification Misrepresentation Forgery Fraud Theft Misappropriation Misapplication Insider Trading Market Manipulation Money Laundering Other Product or Service Select Primary Mutual Fund Bond GIC E Hedge Fund E Limited Partnership Other exempt product PPN Securities outside registration Segregated Fund Finanical Planning Tax Preparation Not applicable Other gt 2 You should choose the Other violation type as a last resort and ONLY in cases where there is no appropriate violation from the list that adequately describes the circumstances of the event If you choose Other you must fill in the details in the dialog box provided or METS will not enable you to continue METS User Guide Page 26 of 40 DM 171496v3 3 Select the Primary Violation Type by clicking on the corresponding radio button You must select the Primary Violation Type even if you have chosen only one violation When two or more allegation
19. ays Z Drop Down Menus METS Version 2 0 Copyright amp 2012 Mutual Fund Dealers Association of Canada All Rights Reserved Near the bottom of the Home screen you will see three drop down menus Events that are not Submitted to MFDA Customer Complaints that are still Pending and Recently Edited Events METS User Guide Page 9 of 40 DM 171496v3 Events that not submitted to the MFDA are those events that have never been submitted to the MFDA have been submitted to the MFDA at some point but have been re opened for a revision and the revision has not been submitted to the MFDA Events that are not submitted to the MFDA will appear in the drop down menu of the same name on the Home page If an Event appears on this list and the Rev column says 0 then that event has never been submitted to the MFDA If an Event appears this list and has a number other than 07 in the Rev column it means that the Event was submitted at one point but has been reopened and the current version s revisions have not been submitted to the MFDA _Events that are not submitted to MFDA 000 Revision S Clear Filters Column MEIS Subject Date of ype ype Initiati Member Member ref Rev ft a inne Event Violation Status Member Member ref Rev j Testing Firm Jenny Advisor C28B48 Advisor Jenny Bankruptcy 09 05 2012 Concluded MFDA Bankruptcy 0 Testing Firm FOC4CA Advisor John Customer Complaint Blank Signe
20. ct Not Submitted to MFDA Event Type Criminal Charge METS Refs 172B07 0 Click here Status Pending Member Ref to sea rch Date Recorded September 18 2012 for an cm individual Subject is an individual su bjec t add new Last Name First Name ind ivid ual Middle Name su bject Title Subject member relationship Current employee agent event occurred here Individual ID Province Of Residence NRD Number Gender Birth Date Comments When you select Search for a subject the Search Individual Subject box will open 3 3 3 Search Individual Subject METS User Guide Page 16 of 40 DM 171496v3 Search Individual Subject ae Search Individual Subject In any part of First Last or Middle Name NRD Number Province of Residence Y 5 Reset Title Name Province of NRD Number Gender Birth Date Comments Individual Residence No records to display 0 items 1 page The search fields use the criteria you enter as follows in any part of First Last or Middle Name Will return individuals if text anywhere any name field matches what you have entered For example if you enter in this field individuals John Smith Mary Smith Jones and Betty Jo Miller would all be returned in the search results NRD Number and Province of Residence Will return individuals only if an
21. d Forms 11 02 2011 Pending Doe Complaint 2 MFDA us lt 2 LR 2 items in1 pages The Customer Complaints that are still pending drop down menu lists those METS Events having to do with customer complaints that have not yet been resolved by the Member These events may be submitted to the MFDA or not submitted It acts as a reminder of customer complaints that still need to be dealt with Recently Edited Events shows the Events that have recently been edited by all users at the Member firm You can view the Event Report Form for any event listed on the Home screen by clicking on the METS reference number or by searching by the filters at the top of each drop down section METS User Guide Page 10 of 40 DM 171496v3 Events that are not submitted to MFDA Today This Week Last Week 0 0 0 0 9 Customer Complaints that still pending 90 Days 90 120 Days 120 180 Days gt 180 Days Recently Edited 10 Filters METS Other Theft Fraud and Serious 11 18 2010 659 Pending Customer Complaint 1F7097 Criminal Charge 3l B Customer Complaint 428680 Customer Complaint otherwise reported above Criminal Charge 6FA999 Criminal Charge BB4252 Civil Claim Customer Complaint Books Records and Client Reporting Termination Compensation Paid to 4F58CD Client and Internal Discipline not 5DC472 Fa
22. each Member METS Authors are assigned by the METS Administrator and have the ability to enter edit and view events and delete unsubmitted events METS Readers There can be multiple Readers at each Member METS Readers are assigned by the METS Administrator and have the ability to view events only METS User Guide Page 7 of 40 DM 171496v3 1 5 Forgotten Password Use the forgotten password feature to reset a forgotten password This feature generates a new password and emails the new password to the email address as known by METS To use select the Forgot Password link on the METS login screen From the Reset Password form enter your Login Name and click on the Reset Password button A new password will be emailed to you shortly EB SIT MEDA 6 Mutual Fund Dealers Association of Canoda J Association canadienne des courtiers de fonds mutuels Reset Password Only a valid active user having a valid email address can reset his password To reset password please provide your login name and click the Reset Password button The new password will be send to your registered email address Login Name Reset Password Cancel Copyright 2009 Mutual Fund Dealers Association of Canada All rights reserved 1 6 Welcome Screen The Welcome screen provides a brief description of the Members Only Site as well as links to METS and EFS Select the METS option from the Quick Links section METS User Guide Page 8 of 40
23. en the Member receives more than one regarding the same subject For example a customer may complain about his account performance over several years and name his original approved person his current approved person and their branch manager This should be entered as three related events However if you receive two complaints from two different customers regarding the same approved person you should not relate the events To relate an event 1 Under the Related Events section of the Event Report Form select Add Related Events 2 Search by subject name or METS Reference or status Select the appropriate METS event by clicking the radio button followed by the Select button Repeat as necessary for additional events If you relate an event in error you may delete the relationship between the two events by clicking the X to the left of each METS reference number A pop up window will ask Are you sure to want to delete this related event Select OK This deletes only the relationship not the event Subject Name Event Type Primary Violation Member Ref Date Initiated x F9CACA Advisor John Customer Complaint 11 02 2011 Add Related Events wEhtevious 5 Click Next when you done 4 6 Nature and Scope of Allegation Under the Nature and Scope of Allegation there are several fields that may be completed Some are mandatory while others are optional One optional area that the MF
24. he date of garnishment Other Theft Fraud and Serious misconduct The date you became aware of the serious event Termination Compensation Paid to Client and Internal Discipline not otherwise The date the disciplinary action was taken or serious event reported above occurred 3 3 Subject Type The Subject Type is the role of the subject against which the event is being filed Your choices are Member or Individual After you have made your selection click Create Event 3 3 1 Subject Type is Member Select this subject type for only those events that do not involve individuals When you select Member as the subject type after you click Create Event the Event Report Form will open The subject Member relationship section of the event report form will not be editable as it is not applicable with this option METS User Guide Page 15 of 40 DM 171496v3 3 3 2 Subject is Individual When you select Individual as the subject type after you click Create Event the Event Report Form will open After the Event Report Form opens select Search under the Subject section to add an individual Enter Event Type and and Save Event Review and Submit A Submitted Event Report Subject Type Report Form Event Report Form Form Confirmation Subject Branch Related Events 7 Nature and Scope of Allegation 5 Member Response 7 Status of Event Document and Document Audit Member Testing Firm MFDA Revision Status New Subje
25. ick on the Member Login link to go directly to the METS and Members Only login screen 2 The METS Login screen opens FRANCAIS CONTACT US MFDA WEB SITE Fund Dealers Association of Canada S Association canadienne des courtiers de fonds mutuels cC RE iia Login Name Password Login Change Password Forgot Password Copyright 2012 Mutual Fund Dealers Association of Canada All rights reserved R1 10 3 your Login and Password Remember that your password is case sensitive 4 Click Login Note For security purposes you should log into METS manage users to change your Administrator appointed password See Changing your password below If your Account Status is Inactive then you will be prevented from continuing Contact your Member Administrator to activate your user account METS User Guide Page 5 of 40 DM 171496v3 1 3 Changing your Password If you are just logging into METS for the first time or if you have forgotten your password and a new one has been sent to you for security reasons you should change your password To change your password you must first login to METS using the ID and Password that was provided to you by the Member Administrator 1 Click the Change Password button on the Login screen 2 in your Login and current password Enter the new password the New Password dialog box and the Verify New Password dialog box
26. ing former employees agents complete all of the fields shown below The asterisk denotes a required field Search Individual Subject ae Add New Subject Last Name First Name Middle Name Title Province of Residence NRD Number Gender Birth date m zl Comment METS User Guide Page 19 of 40 DM 171496v3 fields are Mandatory if known However you may not have all data available when creating the event and in such cases data can be omitted However first and last name fields marked with an must be completed to allow you to proceed When you are done entering individual subject information click Save and you will be returned to the event report form that you can now begin to edit 3 4 Special notes to creating an event Event Type and Subject Type are mandatory fields You will receive an error message at the bottom of your window if you try to continue without making these selections Choosing one of the Other Theft Fraud and Serious misconduct or Termination Compensation paid to Client and Internal Discipline event types will bring up the following message Confirm Is this related to a previously reported event Is your intention to update an existing event or do you wish to create a new one Yes will redirect you to search for that existing event no will allow you to continue creation of a new event j Yes No If yo
27. lsification Misrepresentation 11 2 2011 7 18 2007 10 28 2011 10 25 2011 3 30 2012 11 5 2010 10 1 2011 4 20 2012 11 2 2011 1878 315 318 161 672 342 140 310 Pending Pending Pending Pending Concluded Concluded Pending Pending Pending 10 items in 1 pages 2 NAVIGATING THE METS SYSTEM The functional components of METS use common elements Once these are understood you will be able to quickly navigate through the system to find information you are seeking Always use the previous and next buttons to navigate through an event and to save any changes you make along the way Try to avoid the use of the back and forward arrows in your browser METS User Guide DM 171496v3 Page 11 of 40 X FRANCAIS CONTACTUS SETTINGS LOGOUT Welcome METS FIRM TEST x d Manage Events e View Reports Select Account Testing Firm MFDA Welcome to the MFDA s Member Event Tracking System METS METS is an electronic reporting system that allows members to report information as required by MFDA Rule 1 2 5 and Policy 6 Parts A and B METS Notice Outage September 6 2012 The METS system will be under maintenance on Thursday September 6 from 8 10 PM EST Please contact METS support at mets mfda ca if you have questions End of METS Notices Events that are not submitted to MFDA Customer Complaints that are still pending 9 Recently Edited 10 T
28. n metstestfirm com Add new Contact NRD submission number Have you commenced an internal investigation yYes Internal investigation 09 18 2012 To 1 Member Identified Allegation Pri 2 e Acting Outside Registration Status o Blank Signed Forms e Report the Finding of the Investigation by choosing it from the drop down menu e Choose the Disciplinary Action if any which was taken as a result of the event from the drop down menu METS User Guide Page 28 of 40 DM 171496v3 B Finding ee Disciplinary action Comments v F F m ri F F F 9 Demotion Imposition of conditions Increased supervision Nod linan n Suspension Termination Other Imposition of fines or withh Forgery Fraud Theft Misappropriation Misapplication Handling of Funds Insider Trading KYC Documentation Deficiency Market Manipulation Money Laundering Outside Business Activities Dual Occupation Personal Financial Dealings Policy and Procedure Provincial Securities Legislation Referral Arrangements Reporting Violations Sales Communication Securities Regulator s Order Suitability Investments Suitability
29. oday 90 Days 2 This Week 90 120 Days o Last Week 120 180 Days a Older gt 180 Days 7 METS Version 2 0 Copyright amp 2012 Mutual Fund Dealers Association of Canada All Rights Reserved The top right side of the METS window provides tabs to functions within the system The main METS functions are e Home Search e Manage Events e View Reports METS User Guide Page 12 of 40 DM 171496v3 If one of the links such as Manage Events appears greyed out it means that it is not applicable or not available to your security role Helpful links are located at the top right corner of the main METS screen Francais toggles the language from English to French Help opens up the METS Software User Manual Contact Us provides contact information for METS Support Settings allows each user to customize the number of records to display at a time in various screens within METS and to add manage Member contact persons Logout logs you out of the system 3 MANAGE EVENTS To make an Event report under MFDA policy 6 parts A and B the Member must create an event on METS The Manage Events function allows you to launch the Event Report screen The Event Report appears in sections to permit related data to be entered to summarize the nature of the event and how the Member has responded to it The sections which are common to all Event Types are described below to assist you in completing the Event Report To start 1 En
30. s relate to an event the Primary Violation Type is generally the most serious allegation 4 Choose the Product or Service by clicking on it if it is applicable If you have selected a Product you must also select the Primary Product even if you have chosen only one 5 You should choose Other from the Product or Service list as a last resort When there is no related product or service choose Not applicable Use the adjoining text boxes to add more information regarding the product s as necessary Click the Next button when you are done updating If you have not included information for any mandatory fields METS will produce an error message indicating the missing information Scroll down and add the required information 4 7 Member Response Member Reference is available for the Member s use and completely at the Member s discretion e Contact person for report Select the appropriate Member contact for this event If the Member contact does not appear on the list you can add the name phone number and email address of the appropriate Member contact by selecting the Add New Contact link You may also add new Member contacts using the Settings link at the top right of the METS screen e If there is an Internal Investigation enter the Start date of the Investigation Once the investigation is concluded enter the end date as well e Enter all Member Identified Allegations including the primary allegation While similar allegations are
31. sure that you are logged into METS 2 Click the Manage Events tab on the top right of the screen 3 Select the Mandatory event criteria a Event type b Date of initiation Subject type METS User Guide Page 13 of 40 DM 171496v3 3 4 Event Type Select the appropriate Event Type by clicking on the Radio Button to the immediate left of the name of the appropriate event type The event types are Bankruptcy Civil Claim Criminal Charge Customer Complaint Denial Cancellation Suspension or Termination of Registration or Approval External Disciplinary Action Garnishment Other Theft Fraud and Serious misconduct o 2005 2 1 OD s oco CN 3 5 Termination Compensation Paid to Client and Internal Discipline not otherwise reported above METS User Guide Page 14 of 40 DM 171496v3 3 2 Date of initiation You must set the date as appropriate to the event See the table below for how to calculate the proper date for each event type Event Type Date of Initiation Message Bankruptcy The date of bankruptcy filing Civil Claim The date that the civil claim was filed Criminal Charge The date the criminal charge was laid Customer Complaint The date the complaint was received by the Member firm Denial Cancellation Suspension or Termination of Registration or Approval The date of the denial of application or registration External Disciplinary Action The date the subject was named as a defendant Garnishment T
32. te 3 Status Detail Additional details regarding either the ongoing status or resolution of the event that you are required to add to most event types Note If the Status Detail you are choosing is not presented in the drop down list please click Other from the list and fill in the free form text box that becomes available 4 Revision Status This refers to whether or not the event is New i e Not Submitted to MFDA or Submitted Submitted to the MFDA no edits in progress or In Progress Has been submitted in the past and is being edited The METS Ref sets out the revision status METS User Guide Page 30 of 40 DM 171496v3 vm Member Testing Firm MFDA Revision Status New cc Status New Subject Advisor Jenny Not Submitted to MFDA Event Type Bankruptcy METS Ref C28B48 0 Status Concluded Member Refs Jenny Advisor Bankruptcy Date Recorded September 10 2012 Member Testing Firm MFDA Revision Status Submitted Revision Subject Advisor Joe METS Ref 172B07 1 Status Event Type Criminal Charge Member Refs Joe Advisor Fraud S u bm itted Status Pending Charge Date Recorded September 18 2012 ENA Revision Member Testing Firm MFDA Revision Status In Progress Status In Subject Advisor Joe Not Submitted to MFDA Prog ress Event Type Criminal Charge METS 172B07 rev 1 Status Pending Member Refs Joe Advisor Fraud Charge Date Recorded September 18
33. te option s from the drop down menu by checking the box next to each option For Date of Initiation and Date Recorded both start and end dates are required METS User Guide DM 171496v3 Select Account Testing Firm MFDA Search Event Report LOGOUT FRAN AIS HELP CONTACT US SETTINGS Welcome METS FIRM TEST a Complainant Name METS Refs Event Type X Violation Type X Date Initiation To Date Recorded To E Event Status Either Pending Subject Type All Individual In any part of First NRD Number Last or Middle Name Province State Esa METS Ref Member Ref Member Subject Name Event Status Status Detail Contact Person Date Initiated Date Recorded No records to display i Ea Based on your settings you can view maximum 10 search results Please navigate to settings screen to change the value Page 37 of 40 Events that meet all search criteria will be listed in the search results FRANCAIS HELP CONTACTUS SETTINGS LOGOUT Welcome METS FIRM TEST mers Memes 7 5 nm Home e g Manage Events CY View Reports Select Account Testing Firm Search Event Report Complainant Name doe METS Refs Event Type y Violation Type Date Initiation To Date Recorded To
34. the default location To change the Branch 1 Click Search to enable the search function 2 You may search branches by Address City or Province A list of branches meeting the search criteria currently in METS will appear If the subject s branch appears select it if not select Add Individual Branch and add the branch information Search Branch 8 Search Branch In any part of Addressi and Address 2 City St John s EI Province Search Reset Address Branch ID amp NRD Number HO NL St John s 123 Capitol Hill Drive YY Suite 2 XXX 12345 407118 lt 1 1 pac Add Individual Branch 951955 As with all areas of METS all fields are required if known Fields marked with a red asterisk are mandatory 3 If you have added a new Branch Click Save 4 Ifthe Branch you were looking for is already in METS select the radio button next to the Branch listing and then Select 5 Clicking Edit on the Event Report Form allows you to edit the address and NRD associated with the branch for this event and will overwrite the Branch information for all other events related to the branch METS User Guide Page 23 of 40 DM 171496v3 4 5 Related Events METS requires a separate event to be entered for each subject involved in an event however events should only be related when two subjects are connected to a single event trigger such as a customer complaint or civil claim and not wh
35. u select Yes You will be forwarded to the Search Event Report screen so that you can find and update the existing event This feature helps prevent you from adding a duplicate Event Report for a single event If you select No You will proceed with new event creation as normal METS User Guide Page 20 of 40 DM 171496v3 4 EDIT AN EVENT You can open an event report form to update it in two ways By creating a new event or by searching for a previously entered event and clicking on the METS Reference Number 4 1 Event Report Form Tips In the Event Report Form and anywhere in METS Fields marked with an Asterisk are mandatory In any field involving a Dollar amount settlements compensation or commissions withheld for example round to the nearest 10 So 1347 34 becomes 1350 When entering Dollar amounts just enter the number without the or any commas periods etc Any documents attached to the event i e letter of complaint must be in PDF format 4 2 Open Event Report form Information in the Event Report Form can always be edited If it has already been submitted to the MFDA re opening the event will be shown in the audit trail Any changes made must be saved and then the event may be re submitted to the MFDA Even events that are concluded may be re opened and edited If an Event is re opened for editing it must be re submitted in order for the MFDA to view the changes METS User Guide Page 21 of 40 DM 1
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