Onboarding outstanding
Evidence and confirmations still missing from client onboarding, and how long each has waited.
The question it answers: which clients still owe us something, and for how long?
Read the age, not the count
One item outstanding for four months is a bigger regulatory problem than six items outstanding since Tuesday. The count tells you how much chasing is left; the age tells you how exposed the firm is.
This is the report a regulator's question turns into. It is worth keeping short for that reason alone.
Common questions
The client sent it weeks ago. Then it arrived and was not filed. Evidence sitting in somebody's mailbox is not evidence your firm holds.
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