Process to change name / date of birth information for financial institutions

If you have a rejected individual TFSA record from CRA that indicates:

  • Code 11 – Invalid date format for holder date of birth
  • Code 37 – Holder’s surname does not match CRA records
  • Code 72 – Account holder date of birth does not match CRA records

Date of Birth

The date of birth (DOB) indicated on the CRA database should correspond to the date of birth on the Social Insurance Registry (SIR) at Service Canada. This information is transmitted to the CRA by Service Canada. In addition to the date provided by SIR, the CRA database also records the date of birth provided by the individual taxpayer.

Verify with your client that they have provided you with their correct information (DOB, surname and SIN) which they have filed with CRA.

If you contact your client and they confirm that the information on their individual record which was transmitted was correct, advise your client to contact the CRA at 1-800-959-8281.

The individual would need to identify themselves to the CRA agent and indicate that they are calling because they are a TFSA holder and have been advised by their financial institution to confirm / update their date of birth or surname with us.

Note 

It is important that they specifically inform the CRA agent that their call is in connection with being a TFSA holder.

Confidential information and legal representatives

In all cases, due to strict confidentiality guidelines, only the individual themselves should contact us to verify and/or request identification changes. The only exception would be a legal representative specifically authorized to deal with us on the individual’s behalf. If any other person, such as a spouse, child, parent, etc., attempts to contact us on the individual’s behalf, identification information will neither be confirmed nor updated.

If the DOB given by the individual does not match the one with us or on the SIR, the individual must provide a copy of one of the following documents:

  • Canadian birth certificate issued by the Vital Statistics branch of the province or territory of birth
  • Valid Canadian Passport
  • Certificate of Canadian Citizenship Card (wallet sized card)
  • Canadian immigration record such as the Permanent Resident Card (also known as the Maple Leaf Card), Confirmation of Permanent Residence (Form IMM 1442) or similar certified document on which the date of birth is recorded

Note 

Faxed or photocopies of the document(s) will be accepted.

The individual must send the request to their regional CRA Tax Centre and address it to the attention of T1 Specialty Services unit. The original copy will be returned to them. The CRA agent will explain this procedure to them.

The onus is on the individual to correct or update their DOB on the SIR. For information on how to update their SIN information, individuals can visit their Service Canada office or call the Social Insurance Number Program.

Change of Name

Change of given name and/or surname

A change of name can be done through a CRA agent unless any previous change was made to the opposite name (i.e. the taxpayer has previously changed their given name and is now asking for a change of surname). If this is the case, documentation will be required. The only exception is when an individual wishes to go back to their maiden name.

Complete change of name

In the case of a complete name change, a signed request must be accompanied by one of the following documents:

  • Name Change Certificate from a Provincial/Territorial Vital Statistics Department
  • Court order issued under an act on a change of name

The individual must send the request to their regional CRA Tax Centre and address it to the attention of T1 Specialty Services unit. The original copy will be returned to them. The CRA agent will explain this procedure to them.

Maiden name

When an individual wants to go back to their maiden name and that name was previously on our records, they do not have to send documentation. The CRA agent can proceed with the change over the phone.

When a maiden name cannot be verified on our system, a signed request must be accompanied by a copy of one of the following documents:

  • Canadian birth certificate issued by the Vital Statistics branch of the province or territory of birth
  • Valid Canadian Passport
  • Certificate of Canadian Citizenship Card (wallet sized card)
  • Canadian immigration record such as the Permanent Resident Card (also known as the Maple Leaf Card), Confirmation of Permanent Residence (Form IMM 1442) or similar certified document on which the date of birth is recorded

Note 

Faxed or photocopies of the document(s) will be accepted.

The individual must send the request to their regional CRA Tax Centre and address it to the attention of T1 Specialty Services unit. The original copy will be returned to them. The CRA agent will explain this procedure to them.

Correcting a spelling mistake in the surname and/or given name

If it is obvious that a spelling mistake was made or if the name and surname have been inverted, the CRA agent may proceed with the correction over the phone.

If the correction requested does not match the information found in our records, the CRA agent may still do the change however; the taxpayer will be advised that they have to get their SIR file corrected by proceeding as if it were a name change. The CRA agent will explain this procedure to them.

Impact on rejected records on My Business Account

If a TFSA holder contacts us and has the appropriate identification information updated in our system to match the data as provided on the TFSA individual record, subsequent internal actions will be taken to accept the record as originally submitted.

By doing so, this record would then be removed from the reject list available for download via My Business Account.

If certain records are not removed from the reject list as a result of this process, which issuers feel should have been removed, an attempt can be made to resubmit the record. If mismatch issues persist, staff in the TFSA Processing Unit may assist / intervene as appropriate.

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