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 or Electronic Receiving
TOA stands for
What is: Transfer of Assets
This number is an ACAT eligible firm identifier
What is: DTC#
This is used to determine asset eligibilty.
What is: Fund Access Tool or New Window Search
Vanguard's preferred transfer form
What is: BAT form
Alerts found in the Dynamics
What is: NIGO template, Freezes or restrictions
This is the only electronic signature we will accept
What is: Docusign
This BETA screen is used to verify if we can hold a low price security
What is: SURF S or SURF Q
This security type is PTF eligible
What is: Mutual Fund
The system used to send NIGO email
What is: Dynamics
Our procedures are housed here
What is: Alfresco
The BETA screen used to see if the account is closed
What is: Z001 Rep code on ACCT
These transfer instructions are not acceptable for an ACAT transfers.
What is: CD, Annuity or Insurance Company
We cannot process these assets via PTF system
What is: Bonds, Cash, ETFs Money Market and Stocks
The BETA screen that shows ALL incoming & outgoing transfer history at Vanguard.
What is: SPAD SCREEN
This tool is used to determine if we can hold a specific Mutual Fund
What is: Fund Access
This is completed when transfer is sent the wrong firm
What is: Privacy incident form
Needed for partial ACAT's involving VG mutual funds NOT held in the client's account
What is: Buy-by-None procedure
These 3 things required to initiate a PTF transfer.
What is: BAT form, physical statement or statement template and be Like to Like transfer
Hierarchy in which we Sort our work
What is: ACAT, PTF, DRS, Non-ACAT & DRO
Only like-to-like transfers (registrations) allowed
What is: PTF TRANSFERS
Onboarding Purpose
What is: Delivering a world-class client experience to drive positive outcomes during moments of truth