| LOI | LOA | CCP | RFYI |
|---|---|---|---|
|
Which LOI authorizes client mandated restrictions?
CAARF
|
Which Month and Year should be in bottom right corner
Jun 2020
|
What does CCP stand for?
Confidential Client Profile
|
What does RFYI stand for
Relationship For your Information
|
|
Which LOI gives instruction on Cost Basis Step up
LOI to Step up Cost Basis
|
T/F: IC GVP can give exception for LOA w/opDocuSign LOI
F
|
Who has to sign a CCP?
Account owners/Trustees
|
Which team makes decisions on Cash Flow RFYIs
PEG
|
|
Who gives exception for a AA Mandate LOI
IC GVP
|
When is a non account owner or trustee or beneficiary a signer?
POA,
|
Which accounts need an Entity CCP?
CORPs
|
Client is over 80, RFYI required?
No, over 90 RFYI is required for suitability
|
|
Who gives exception for Client Mandated Time Horizon LoI
IC GVP
|
Signed LOA returned today, when does CSA have to send ELOA
24 hours
|
T/F. Client does not answer the five questions at end of CCP. We are ok to clear
T.
However, get CSA TL approval and confirm with IC restrictions, litigation nd control person questions were asked |
What are signer notes
Notes from person who approved RFYI
|
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