P2010-ND-003

TD Investment Services Inc.

A member wished to transfer their mutual fund RRSP account to an account with another financial institution. As part of this request, the customer completed a form and faxed it to the other financial institution on June 10, 2010. The other financial institution then faxed the form to the Organization’s RRSP transfer processing department on June 22, 2010. Upon review by the Organization, some data on the form was unclear which required that the form be faxed back to the other financial institution on June 22, 2010. Inadvertently, the Organization sent the fax to the number from which the customer?s initial fax to the other financial institution originated, which was the customer’s workplace. The customer was notified by a coworker that their documentation was on the fax machine. The customer notified the Organization of the incident on June 23, 2010.

File Type: pdf
Categories: 2010
Tags: Unauthorized disclosure