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Owner
U
UntitledVerification
Verified
Department
Compliance
Type
Standard Procedure
Use Cases
Compliance
SOP Overview
Include an overview here.
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Table of Contents
Documentation and Resources
Add/Upload Documentation and resources related to this SOP
Include Step-by-Step Instructions below
Step-By-Step Instructions
- Review BC to see if previous vintages already registered/update vintage change
- Add to our state registration book for new registration – if already there with notation confirm notation still valid
- Confirm all required documentation in hand
- If anything lacking note in registration with date of notation
- Advise OSOrders of status
- Open Pending Approval – item has all necessary documentation same day approval
- Open/All Set
- Not Registered/Added to List – item has all necessary documentation but there is a wait time for approvals
- Needs Documentation specifying what is missing - LOA, COLA, Verbal Approval etc
- When documentation missing cc the portfolio manager and advise what is needed, provide template if requested
