ACAT
ACATS stands for
What is: Automated Customer Account Transfer Service
PTF stands for
What is: Position Transfer Fund
Three retirement account types
What is: Roth, Rollover, Traditional
(also accepted: inherited ira, simple ira)
We are also known as (hint: not TOA)
What is: Receiving Firm
TOA stands for
What is: Transfer of Assets
This number identifies PTF FISD listings
What is: NSCC #
PTFs can be received two ways
What is: Via form and formless
We process these forms
What is: BAT form
Alerts found in the CRM browser
What is: NIGO template, Freezes or restrictions
This number identifies ACAT FISD listings
What is: DTC #
This statement orientation can determine ACAT eligibility (hint: hamburger, hot dog?)
What is: Landscape
Required for PTF transfers
What is: Statement information
This will always be the LotusNotes Subject Line
What is: Vanguard Update: Action Required
We use this to look up our procedures
What is: FileNet
This firm has D shares
What is: Janus Henderson
This is where to MEMO decedent information
What is: COMMENTS BOX
We cannot process this for PTFs
What is: Cash/MM
Shows ALL BETA history at Vanguard.
What is: SPAD SCREEN
Is a cusip
What is: numbers
Is a ticker
What is: letters
Needed for partial ACAT's involving VG mutual funds NOT held in the client's account
What is: Buy-by-None procedure
We close these when processing PTFs
What is: Track Your Transfer Link (TYTL)
We do not blitz these
What is: Rejects OR Multiple NIGO's
Only like-to-like transfers (registrations) allowed
Onboarding Purpose
What is: We deliver simple, trustworthy, and satisfying client experiences