TD Knowledge
counterfeit checks
wires
Night Deposit/NDA’s
Everything Self-Assesment
100
President and CEO of TD United States
Leo Salom
100
If a client disputes an altered/counterfeit check within 30 days of the bank statement reflecting the altered check posting and an alteration claim is submitted, the client’s account may be reimbursed within how many days by back office?
10
100
True or False
In extremely rare instances and as an emergency exception for domestic wires only, a Retail Banking Center associate may receive a not in person (phone, email, fax) client request for an outgoing wire.In these circumstances, a situational exception may be invoked to accommodate a need for Retail associates to perform the NIP wire request.
TRUE
100
what is it called when bag is held for pickup and not opened or processed, will also be required to enter into a signed agreement prior to use of the night depository services.
Safekeeping
100
What is uploaded with the ACCESS CONTROL worksheet on the applicable month?
Current VOP's
200
President and CEO of TD Canada
Bharat Masrani
200
Where can you find detailed instructions including steps to take if an altered check cleared a client’s account?
Banker Knowledge Guide-Customer and Account Procedures-Depository Fraud
200
Where are the NIP Situational/Emergency Exception Process and Procedures found for retail?
Banker Knowledge Guide
General operations- Wires
200
The Safekeeping Night Depository Agreement is available in the
BKG Forms Library
200
New
1.)What is uploaded with the SDB worksheet no matter if you opened or closed any SDB's during the review period?
2.)Where is each report found?
1.) Open/Close report
2.)Tools/Reports<General Operations Resources<Safe Deposit Box Close Report<SDB Listing Report
300
How large will the combined TD and FHN US organization be after legal day 1
6th largest US bank
300
What is the name of the counterfeit/fraud system the bank just put into production to flag possible counterfeit/altered checks?
Argos/Oasis
300
Whose approval must be obtained before submitting a NIP exception wire for review?
RMM, RBE, Market Line of Business Leader or Market President and Regional President
300
Completed Safekeeping Night Depository Agreements (new and amended) will be uploaded to ARX through?
DocFlow
Image Document to ARX > Night Deposit Contracts
300
On the digital format of the Self-Assessment- the red triangles in the upper right corner of the cells signify what?
hints to each section of the Self-Assessment category.
400
Total combined assets after legal day 1
614 billion
400
What should the banker collect and submit when it is determined a client has been a victim to counterfeit/altered check fraud?
*Completed appropriate altered/counterfeit check affidavit..must be notarized
*Proof of alteration is obtained
*Fill out Fraud Incident Form (FIF) and attach supporting documentation above before submitting
400
How do you submit the support request from appropriate market leadership and BOS request for final approval to move forward?
Complete the Not-In-Person Situational/Emergency Exception Request (Retail Only) email template
Found in the BKG under:
Not-In-Person Situational Emergency Exception
400
True or False
Business clients that request to utilize night depository services without safekeeping will no longer be required to enter into a signed agreement.
TRUE
400
1.) What type of Audits are notated on the CASH CONTROL worksheet?
2.) What is uploaded with it?
1.) Planned/Unplanned absence/ termination
2.) TCS from the last day of the review month
500
How many TD stores will the US organization have after legal day 1
1,560
500
1.) After it is deemed absolutely necessary to debit a GL on the center level for crediting the client while the altered/counterfeit check claim is being processed...what GL should be used?
2.) What info should you put on the ticket and who do you email this info to once complete?
1.) Losses- other miscellaneous 690973
2.) FIF number/case number and you email to your respective market investigator so the file can be noted. When the time comes and the bank is reimbursed the proper GL will be credited instead of the client.
500
1.) What Does D-F mean on wire form?
2.) What X-Border is selected when sending a consumer purpose wire internationally?
3.) Why is this option so important and what does it trigger?
1.) Dodd Frank
2.) Original D-F
3.) generate appropriate disclosures and receipts to comply with Dodd Frank regulations
500
1.) All deposits dropped off to be processed in the absence of the client must be logged where?
2.) True or False
Day Drop deposits are not logged within the inSTEP Teller Business Service Customer Set Up or Night Deposit Log.
1.) Day Drop Log
2.) TRUE
500
1.) What is uploaded with the physical and information security worksheet?
2.) What is uploaded if the above document is not received?
1.) Email from ESC that testing was complete and successful...this includes confirmation that all cameras are working.
2.) The initial email that was sent to ESC confirming monthly test was completed along with the call order list. Print the sent copy of the email and write on it- "ESC confirmation email not received".