Misc
Templates
Awaiting Assets
Cash
CD/Annuity
100

The information required in the Crave UI when there are multiple funds and cash.

What are all the funds' ticker symbols and their share values along with the dollar value of the cash?

100

Is current account type an IRA [Y/N]: (If no, please see special situations)

Is it possible for the client to re-register the assets into an Inherited IRA [Y/N]:

Does the name of the deceased account owner match decedent named on the Vanguard account [NAME] [Y/N]:

Is the Vanguard client a beneficiary of the contra firm account [NAME] [Y/N]:

Is the client a PARTIAL or a FULL beneficiary [FULL/PARTIAL]:

a. If partial, verify the clients entitled amount

If PARTIAL, will the contra firm accept full transfer Instructions for the client's share of the assets? [Y/N or N/A]

What is the Decedent to Inherited IRA Checklist?

100

When the robot returns a case to you in "Awaiting Client Assets", this is the first step in the manual.

What is, "Access the client’s account in Crave and BETA to review if all assets have arrived"?

100

A mutual fund with a ticker symbol that ends in "XX".

What is a Money Market Fund?

100

Where annuity specific instructions live in the BAT Form.

Where is Section 3, Option D?

200

The Non-ACAT hierarchy when mailing out client requests.

What is Fax > Overnight (FedEx) > Standard (Snail Mail)?

200
  1. Check the Timeline and Alerts in Dynamics Sales Case and BPM history:
  2.  Ensure Case Details are completed with Client ID and VBA Account (Client ID / VBA Account Number)?:
  3. Check TOAR, TARS and SPAD in BETA to confirm transfer hasn’t been processed yet (Y/N)?:
  4. Check ACCT in BETA to confirm acct isn’t closed / in Z001 status (Y/N)?:
  5. Check FIDO IN BETA to determine if Mutual Fund is Omnibus (Y/N):
  6. Vanguard registration / account type?:
  7. Contra firm acct #?:
  8. Contra-firm registration / account type?:
  9. Does Vanguard Require a MSG (Y/N)?:
  10. Review and follow all FISD requirements for contra firm AND transfer type AND double check THE CORRECT PART #.?:
  11. Check ALL pages of ALL attachments to ensure all paperwork has been reviewed / properly completed, signed, and processed (Number of Transfers / Signature Date)?:
  12. Check that the client is requesting a FULL transfer or PARTIAL transfer (Full / Partial)?:
  13. Verify that all funded securities requested can be held at VG (List Funds)?:
  14. Verify if contra firm requires originals or MSG? (Originals? MSG?)
  15. Did you complete the Mail Method Comments correctly for ATA use (Y/N)?:

 16. Paste TOAR into BPM (Y/N):

 


What is your Non-ACAT Processing Checklist? 

200

How long a case is suspended after sending a Final Attempt DCC.

What is 14 days?

200

The settlement fund in a VBA platform account.


What is the Vanguard Federal Money Market Fund (VMFXX)?

200

What the letters CD stand for.

What is "Certificate of Deposit"?

300

What is done when you are in the transaction screen in Crave and get to the BM 295 box.

What is if transferring an omnibus fund, adding the house account number from the Omnibus List. If not, selecting the dropdown for "B50 needed"?

300

Fax Number if applicable: 

BPM Document Name:

Page Range: 

Originals Required (Y/N): 

Additional Comments: 

What are Mail Method Comments (MMC)?

300

The DCC template used when the contra firm rejected the transfer.

What is TOA Ops N500014: Incoming Contra Firm Reject / NIGO - CALL CONTRA?

300

When the client selects "transfer all cash from my IRA" and the statement shows stocks and cash.

What is a partial transfer for full cash?

300

The window of time from the maturity date that we can process a CD.

What is 30 days?

400

Creating a shell account in order to transfer a Vanguard Mutual Fund.

What is a Buy-by-None?

400

Delivering Firm name:

Phone number called:

Who you spoke with:

Reason(s) for call:

What is the outcall template?

400

The DCC template used for final client contact.

What is TOA Ops N500013: Wait Items / NON-ACAT Research Items Final Notice?

400

Used by ATA as a large, visual reminder to liquidate money market funds.

What is the Money Market Liquidation Stamp?

400

What we do when a client is transferring a CD, Annuity or Insurance Policy, and does not provide CD/Annuity/Insurance Policy specific instructions.

What is follow current client contact procedures and request a new form?

500

What ATA stands for.

What is Asset Transfer Authorization?

500

1. Is this an existing retail client with a funded account? (Y/N):

2. Does the registration at the contra firm match the registration at Vanguard? (Y/N):

3. Value of transfer request (NOTE: MSG program can only certify requests up to $10 million)?

4. Did you verify the client's signature with one on file in AWD/BPM? (Y/N):

5. If NO to #4, has the client passed through Voice Verification/One-time Passcode for this request?* (Y/N):

6. Doc ID used to verify signature OR date & time of Voice Verification:

What is the courtesy MSG Template?

500

The When/Where/What/Why of TOA Research.

When is Day 43 processor?

Where is the TYT link & Transaction History in Crave, Transaction screens in BPM and BETA?

What is look for transfer incoming in the transaction history so we can close the TYT and TOAR.

Why: to monitor and make sure all assets have arrived?

500

The conditions for initiating a transfer with a $1 expected transfer amount.

What is when the client requests a full cash transfer with no dollar amount on the statement/statement free template? (Also: What is when the statement says $1.00?)

500

The reason CD/Annuity transfer instructions cannot be taken over a recorded line.

What is a compliance issue regarding verbal fee and penalty acknowledgement?

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