Policy 1
What is the full name of the resource in iKnow that shows us the acceptable revision dates?
Acceptable Revision Dates & Cross Referencing Guidelines Per 1.1 Policy Library
Which policy provides information on replacing a holder in AP.
Policy 3.1
True or False: If a Service Now ticket is needing to be created while processing, you should suspend the document until the ticket is resolved
True, if the form is in good order and a ticket is needing to be submitted, you should suspend the form. Per 4.2 Policy Library.
If a form/document is needing to be rejected, do you still need to copy the form/document to any additional accounts the forms/documents apply to?
No, if the form/doc is not in good order we will not copy the forms/documents. Per 1.3 Policy Library
What is the name of the template sent to AML when New Accounts completes updates that were required for AML process?
AML Document Pending NA Updates - Profile Update Completed - Per 3.2 Policy Library
A service ticket has already been submitted for an issue you are experiencing by another associate, the ticket is still in process, how should you proceed?
Proceed to follow the Expedite process as documented in Creating a SNOW Ticket Support Case guide. DO NOT submit a new ticket for the same issue. - Per 4.2 Policy Library
True or False: You can reindex a 7000 incorrectly submitted as a Service Center document (1111/1212).
False, if a 7000 is submitted as a Service Center document, it must be Split as a Form 7000. Per 1.3 Policy Library.
When should you always add a Home Office Note, and what three W's make for a good Home Office Note?
When making an exception or judgement call. WHAT, WHO, WHY are three W's to include in your HOM to make sure the action is clear. Per 3.3 Policy Library
What resource in Iknow provides instructions on how to locate a Snow Ticket
Locating a SNOW Ticket Support Case -Per 4.2 Policy Library
When processing a document with multiple account numbers, what should you do?
Check Service Center Portal to ensure the document is referenced on all requested accounts. Per 1.5 Policy Library
True or False: If a form is missing information such as; Investment Experience, Contact Information, Account Suitability, etc. The form should be rejected.
False, forms should not be rejected for missing data that is able to be maintained/updated by the branch. Per 3.11 Policy Library ** Awesome resource ** - Suspension & Rejection Guidelines.
True or False: Form Guides are a good resource to reference when processing.
False! Form Guides should never be used to process, are the guide and our procedures are slightly different. Per 4.6 Policy Library
True or False: If an eSignature document shows as "branch scanned" under the submission method, it should be rejected.
False, Per 1.6 Policy Library, steps on how to proceed are provided under letter C.
What Job Aid in iKnow has a list of SCA eligible forms?
Service Center Approvals (Processing Forms) - Per 3.13 Policy Library.
Which Policy in Policy Library has a link to the full list of Form Guides and do you have it bookmarked?
4.6 Policy Library - if you don't you should!