ACC Checklist

Relationship Manager Name: __________________SMPQ Name: ________________ SMPQ Phone Number: _________________ Flagship Name:_____________________________Sales Leader Name: ______________ S/L Phone Number_________________ RM Transit: __________ SMPQ Transit:________________ Connection Name: Account Name New Risk rating Activity 1 2 3 4 5 6 7 8 9 Confirm targeted customer is registered for direct banking including set up of FirstBank Card for business Review FirstBank Card for Business limit class and confirm appropriateness Inquiry 3 to confirm all accounts are linked and confirm no NSF activity Inquiry 50 to confirm accounts have only one signature or either/or signature required and ensure agrees with C/A authorities Photocopy Current Account Authorities, signature cards, Articles of Incorporation/Trade Name Reg. and insert in customer’s file I have reviewed the file and the client meets the ACC profile Include most recent 2 years Financial Statements in customer’s file Scheduled credit review completed, including all accounts with Annual Review due within 45 days. New Risk Ratings is 45 or better Print last PF8 or security panel. Verify and insert non-negotiable security, branch acknowledgement of negotiable security, promissory notes, lending agreements, FCLI certificates, etc into customer’s security file. Letter of Credit file included Yes No Is there a CSBFA on the account? Yes No Invoices / proof of payment on file Yes No NOTE: Credit File should not be sent Record all Security registrations within the next 18 months Security _________________ Date _________ Security _________________ Date __________ I have reviewed the attached account and confirm all required documentation is enclosed and account qualifies for ACC program Ensure file is complete and initialed. Forward documentation to: Direct Bank for Business,BMTT 16th Floor, Toronto, Attention SMPQM In Quebec send to Tr# 2005M, 129 Rue St. Jacques, 12th Floor, Mtl, att: ATL PQM Verifies existence of non-negotiable security, branch acknowledgement of negotiable security, promissory notes, lending agreements, FCLI certificates, etc. and /or deal with any deficiencies Accept and Re-code RMC and AMC codes for account, Prepare document imaging label and forward documents to Document Imaging Librarian Send ACC Checklist to attention SMPQ as confirmation to Flagship that files were received and account re-coded to Direct Bank for Business. Complete Takeover Certificate proforma in accordance with PM 0104-05. Flagship to ensure Optimizer amended to ensure customer Deal team is updated to include Flagship bucket on Deal Team and Primary is changed to “mbanx Flag RM” Direct Bank for business: Senior Manager PQ: David Weegar Transit & Account # (s) Auth $ Responsibility RM/CSO/PSO RM/PQM CSO/PSO CSO/PSO MCS/ PSO Sales Leader/ Designate PQM/PSO PQM PQM/PSO FYE Initial A/R Date Date



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SMPQ/Designate PQM/PSO



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_____________PQM Name