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Owner
U
UntitledVerification
Verified
Department
Operations
Type
Standard Procedure
Use Cases
ComplianceCreditOrders
SOP Overview
Include an overview here.
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Table of Contents
Documentation and Resources
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Include Step-by-Step Instructions below
Step-By-Step Instructions
- Pricing Missing
- OSOrders tags compliance and the portfolio manager advising pricing missing. (In cases for Lagniappe/Edward T Edward - loop in AccountingLagniappe/AccountingETE(Nick) & PM as needed.
- Compliance will check to see if pricing in the current google docs and BC the advise as follows:
- If for a price posting state(ME or MA) and no pricing in google docs, compliance will advise PM of the previous vintage price and ask if can be SAP
- If a control state (WY, UT) rep can confirm pricing – typically on PO
- If neither of the above PM will need to provide pricing
- Once pricing provided or approved compliance will add to BC and advise OSOrders when ready
