Authentication
Infowave article that states associate must provide full name
What is caller authentication, standard greeting
Requirements before cold transferring a caller were not met. Representative did not provide the client with notification of additional security prior to transferring.
What is Infowave >Call Handling Procedures > Transferring Calls > Requirements For Cold Transferring to Participant Services > steps 1-3
The client indicated they signed up and were logged in to their husband's profile. The workflow to have the sharing web credential letter sent to the client was not completed.
What is InfoWave > Vanguard.com - Clients sharing web credentials > Shared credentials scenario process steps and scripts: > Client calling (client is on the line - account populated on CrAVE)
Procedures for scheduling appointment for PAS client not followed. Caller should have been transferred to Advice Support Group for assistance
What is InfoWave- Personal Advisor Services (PAS)- Scheduling Appointments for Advised Clients
Infowave article that discusses what procedures need to be followed when cold transferring a call
What is Infowave: Call Handling Procedures>Transferring Calls> From the article: Requirements for Cold Transferring to/within CSO
Proper call handling procedures were not followed. The representative's Vanguard affiliation was not provided to the caller.
What is InfoWave > Caller Authentication - Standard Greetings
Account specific info was left on a voicemail without prior voicemail consent
What is InfoWave > Caller Authentication - Outcall procedures >Section titled "Leaving voicemails"
Permission was not granted for the third party to be present when client is asked their security question on the client's accounts
What is InfoWave > Caller Authentication-Security verification by caller/role > Section titled "Security verification for a client when a third party is on the line"
A(n) _____ should be added to the account when an associate wants to document an unfavorable situation with a client
What is an alert?
Infowave that explains what happens when the client is not provided the "as-of" date when account balance is given
What is InfoWave - Quoting Fund and Market Information to Clients
Infowave article that discusses what process to follow when the client does not verify their own full name
What is InfoWave > Caller Authentication Process > Section titled "Step 3: Authenticate Client"
OR
InfoWave > Caller Authentication - Outcall procedures > Section titled "Outcall process"
"Do not leave the client on hold without checking back with them unless the client states otherwise (checking back within about 7 minutes is a best practice). If the inquiry will take a long time to complete indicate the time frame in which you will be returning to the line, and be sure to follow through in a timely manner. "
What is Call Handling Procedures>Hold Time
When the additional client/party joined the call, they were not provided the representative's full name, Vanguard affiliation, and notification of a recorded line.
What is InfoWave > Caller Authentication > Standard Greetings > "Each person spoken to during a call must be notified of the recorded line."
Anything close to this answer will be deemed CORRECT
The client was not re-authenticated when returning a call due to Virtual Hold call back
What is InfoWave > Caller Authentication - Outcall procedures > Key Points
Infowave that states an associate should state their name when a third party joins an account holder on the phone call, their affiliation with Vanguard and that it is a recorded line
What is InfoWave - Caller Authentication - Standard Greetings
The account closure script was not read to the client when closing VBA account.
What is InfoWave > Account Closures—How to Close a Brokerage Account> Workflow - Sample Screenshots
What is a problem case?
Infowave article that discusses if a client is NOT considered improper
What is infowave - Improper Client Behavior, Threats and Suspicious Phone Calls - Handling Procedures under What is and is not considered improper client behavior?
Cold transfer procedures were not followed. The client was placed on hold to search for an answer regarding VCD, but ended up being transferred without advising the client. The client was surprised he was transferred
What is Infowave: Call Handling Procedures>Transferring Calls>
The client was provided the chance to answer more than three account specific questions to verify security.
What is InfoWave > Caller Authentication > Process > "No more than 3 ASQs can be asked"
The client was not asked to verify two web security questions prior to resetting the client's web security questions/answers. If the client does not know their web logon information or the answers to their web security questions, then they will have to submit a notarized Restore Account Access Form to reset their web security.
What is InfoWave > Vanguard.com - Associate resetting web security questions > Section titled "Resetting a client’s web security questions - Key points"
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Infowave > Vanguard.com—Client Resetting Web Security Questions
Infowave article that discusses what should be read to the client when they pass security and we are made aware a third party is assisting them online
What is infowave - Vanguard.com - Clients Sharing Web Credentials under Shared credentials scenario process steps and scripts
The list of things that should be done on an improper clients second or third offense
What is infowave - Improper Client Behavior, Threats and Suspicious Phone Calls - Handling Procedures - Second or Third offense
Unlocking Security Code procedures were not properly followed. Two web security questions were not verified before unlocking security codes nor was the client Voice Verified prior to disabling
What is InfoWave > Security Codes (Two-factor Authentication) > section titled "How do I unlock the client's Security Code service?"