Upfront Review
What is the first step on the Marketplace New Accounts Checklist?
Required SLs will be auto checked during linking for which master?
FA master
If the application has the word 'Marketplace' in the title, what user group is selected in Client Central (assuming it is not a reserved account number)
User Group= Managed Account
When present on the application, ALL alerts go to this firm, unless special handling states otherwise.
TAMP firm
When creating a SAC Alert in myQ for a NIGO, what Alert Type must be selected
Action Required
Where is Special Handling located?
On the Resource Site or on the master notes in Client Central
FRDB must be manually reviewed to determine if there are any required SLs for these masters.
BT master and TAMP SL master
Reserved Account Numbers require what User Group to be selected?
User Group= AS
When there is not an alert template that fits the exact NIGO you need to send to the TAMP/ FA, what template is used?
Missing Information (standard)
On the Account Open myQ case template, what goes in the 'Completed' section?'
Completed:
1.
Resolved NIGOs
A Marketplace TAMP application is received. The FA master has the word 'TAMP' in the notepad, but does not say 'COMBO'. Can we proceed using this master?
Yes. TAMP means managed and non-managed TAMP accounts. We do not need the word COMBO in addition
You receive a linking error message during account opening, what is required to establish the relationship in FRDB?
A MAAO Suspension (AS) Case
What money manager has special instructions on their BT master to use a specific strategy if the strategy provided on the application is not listed in Client Central?
Parametric Portfolio Solutions
A NIGO is pended for a total of how many days?
30 days total
When pending a myQ case after sending a NIGO alert to the advisor, what pend reason must be selected?
Waiting for Alert
What pricing on the FA master requires the client to sign an Asset-Based Pricing Addendum prior to opening the new account?
Non-wrap ABP
The suspension case must be created under what account number?
The primary master
During the account opening in Client Central, what section must be reviewed for any additional requirements that may apply for the selected strategy? (Such a options, margin, and/ or additional SLs that are not listed as 'required' in FRDB)
MA Details> Additional Info
During training, if an IA replies to a NIGO alert but the NIGO is not yet resolved and/ or there are additional NIGO items, how many alerts should you send before requesting a team member make a call out?
2
When pending a case due to an internal process such as waiting for FRDB to be updated or a standard 2- day process, what is the reason selected in the Log NIGO Tool?
Dependency on Another Internal Process
What commission schedule(s) on the FA master requires us to enroll the clients account in OMT?
FAZZ and FAHH
MAAO Suspension (AS) cases are used to link a primary master with what type of secondary master?
BT masters and TAMP SL master
The User Group selected (AS or Managed Account) when opening an account in Client Central drives what on the client's account?
The cash feature that is automatically applied to the account
A single pend of how many days will trigger auto case cancellation, assuming there have been no updates on the case?
28 days or more
When processing a case where there is an additional form required to open the account, such as an ABP Agreement or Options Trading & Margin Application, where do you look to see if the IA/ client provided it?
Contingent Case link. On cases that contain contingent cases, there is a blue hyperlink at the top left of the myQ case. Contingent Case (FA-xxxxxx)