Misc
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?
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?
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"?
A mutual fund with a ticker symbol that ends in "XX".
What is a Money Market Fund?
Where annuity specific instructions live in the BAT Form.
Where is Section 3, Option D?
The Non-ACAT hierarchy when mailing out client requests.
What is Fax > Overnight (FedEx) > Standard (Snail Mail)?
Check:
☐Check BPM History
☐Crave Alerts
☐ Review Paperwork (make sure no other forms or checks)
☐Check that case was sorted correctly via FISD (keep tab open)
Can request be processed as DRS, ACAT, PTF? Yes/No?
☐Search Client ID in BPM for duplicates
☐Dynamics Sales Case
☐ Copy Dynamics notes into BPM that pertain to case
Check BETA:
☐TOAR
☐TARS
☐SPAD
☐ACCT (Check for Z001 Rep Code)
Ensure Case Details are completed with Client ID and VBA Account
Client ID:
VBA account number:
VBA account type:
Document ID:
Contrafirm Info:
Custodian Name:
Contra-firm Account Number:
Contra-firm Account Type:
Does registration match?
☐Same Client
☐Same account type
☐Same SSN/TIN
Transfer amount:
☐Full? ☐Partial?
Assets: (Review FISD before listing securities to ensure firm accepts “in-kind” transfers)
Cash (is this a Money Market fund (MM) or CASH)) Yes/No?
If CASH input dollar amount, if MM input dollar amount but also check off the MM liquidation box above Crave comment box.
Amount: Click or tap here to enter text.
Securities (Input Ticker and SHARE amount. **Note, if there are any Vanguard Mutual Funds you may need to complete a Buy-by-None (check procedures))
Can all securities be held (Did you check the ticker symbols)? Yes/No?
*If CD, check procedures on steps for AT maturity vs PRIOR to maturity instructions
Review Document:
Did you review ALL pages? Yes/No?
Page Range:
Does VG require MSG? (Account types or account owners are different) Yes/No?
*Review manual for steps if needed
Does the document have an eSignature? Yes/No?
Review FISD, Check:
Fax Number:
Originals Required? Type Yes or No
Contra-firm MSG Required? Yes/No?
eSignature Accepted? Yes/No?
Reviewed FISD Additional Comments? Yes/No?
Omnibus (only for NON cash transfers)? Yes/No?
What is your Non-ACAT Processing Checklist?
How long a case is suspended after sending a Final Attempt DCC.
What is 14 days?
The settlement fund in a VBA platform account.
What is the Vanguard Federal Money Market Fund (VMFXX)?
What the letters CD stand for.
What is "Certificate of Deposit"?
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"?
Custodian Name:
Fax Number if applicable:
BPM Case #:
BPM Document Name:
Document ID:
Page Range:
Originals Required (Y/N):
Additional Comments:
What are Mail Method Comments (MMC)?
The DCC template used when the contra firm rejected the transfer.
What is TOA Ops N500014: Incoming Contra Firm Reject / NIGO - CALL CONTRA?
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?
The window of time from the maturity date that we can process a CD.
What is 30 days?
Creating a shell account in order to transfer a Vanguard Mutual Fund.
What is a Buy-by-None?
Delivering Firm name:
Phone number called:
Who you spoke with:
Reason(s) for call:
What is the outcall template?
The DCC template used for final client contact.
What is TOA Ops N500013: Wait Items / NON-ACAT Research Items Final Notice?
Used by ATA as a large, visual reminder to liquidate money market funds.
What is the Money Market Liquidation Stamp?
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?
What ATA stands for.
What is Asset Transfer Authorization?
1) Is this an existing retail client with a funded account? (Y/N):
2) Does the registration at the contrafirm match the registration at Vanguard? (Y/N):
3) Is the transfer request under $2 Million dollars? (Y/N):
4) Did you verify the client's signature with one on file, older than 60 days, 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) Box & Page/Doc ID used to verify signature OR date & time of Voice Verification:
What is the courtesy MSG Template?
The When/Where/What/Why of TOA Research.
When is Day 43 processor?
Where is the TYT link in Crave, Transaction screens in BPM and BETA?
What incoming transfer in the transaction history so we can close the TYT and TOAR.
Why: to monitor and make sure all assets have arrived?
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?)
The reason CD/Annuity transfer instructions cannot be taken over a recorded line.
What is a compliance issue regarding verbal fee and penalty acknowledgement?