POL00028017 - Knowledge Based Article (KBA) on Transactions Details section by Louise Liptrott (updated by Tim Humphries)

Evidence on official site

The Knowledge Based Article (KBA) asks the advisor to complete a form in the Transaction Details
section, which is below:

AN: 2422 ~ Original Source: Louise Liptrott email
19/08/2019. Updated: Tim Humphries by email on
30/11/2020.

L1- BSC Back Office

L2- BSC Monthly Procedures
L3- BSC Discrepancies

L4- BSC T2 Investigations

If on the balance report you come to a net discrepancy of which
you were not expecting please follow this check list to try and
identify a possible cause.

It may also transpire that your net discrepancy is a combination of
a shortage and an overage meaning there is more than error to
look into.

Tier 1 Advisors need to go to Transaction Action Details screen and
select the Ti Discrepancy Form to complete.

Transaction Form for Tier 1 held in Dynamics:

Actual Discrepancy

Date when
discrepancy first owe eS
appeared?

Discrepancy Over: &
Discrepancy Short: _
Discrepancy Net: =

Number of Stock
units

‘Stock Units Invioved _

Alternative Phone
Number

POL00028017
POL00028017
POL00028017
POL00028017

Checklist

Check for any TC's -_

Check for any TA’s a

Check any cash
variance

Checked transfers _
Check if there are any
zero transactions

Checked stock &
cash rems

Checked reversals
new & existing
Check duplicate
transactions

Checked where the
discrepancy is

Checked Suspense
account

Checked stock
‘ 4

Checked miskeys _

Discrepancy Overview:

Discrepancy -
‘Overview