Can missing client documents and other exceptions to normal work flow be tracked?
Yes. For instance, if an account agreement (W9) has been mailed to a client for a signature and the agreement has not been received within x days after mailing, with x days having been preset in the System Administrator parameter file , or the client is missing margin and/or option agreements, an exception will be noted in the real-time Exception file and a report automatically generated. Other than document tracking the Exception table contains over 150 exceptions to normal securities work flow. The specific types of documents to be programmatically added to the list of tracked documents are determined at time of program installation. Of course they may always be modified.
