RIAREQUEST SOP

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  1. 3. The _____ anniversary date may be selected as the payment date on Lincoln Level Advantage contracts only.
  2. 5. The maximum payment ____ is 1.5% if there is no living benefit rider on the contract.
  3. 7. If there are no attachments in the RIAREQUEST work item, this is one of the work items you can check to see if the forms have been received.
  4. 8. If you suspect _____ or possible identity theft, you should fill out a Suspicious Incident Report (SIR).
  5. 9. The financial professional may request a One-Time or an _____ Withdrawal.
  6. 11. ____ is a part of Vantage that reviews addresses and compares them to the US Postal Service's database.
  7. 14. If the firm name is _____ Advisory Group, check Impact to determine what firm name should be entered on the GK screen.
  8. 15. If you discover the disclosure of customer personal information, a _____ incident should be reported as quickly as possible, but no later than 48 hours after discovery of the incident.
  9. 16. RIA firms can use a Third-Party firm, also called a _____, to collect advisory fees.
  10. 18. The _____ OPT IND should always be J when setting up a RIAREQUEST.
  11. 19. If the contract is not yet issued, change the status of the RIAREQUEST work item to _____.
Down
  1. 1. For RIA contracts with the LINC _____ rider, form AN11745GLWB must be received in addition to the two Advisory Fee forms.
  2. 2. If the financial professional requests an Automatic Withdrawal setup, they must select the percentage and _____ of their payments.
  3. 4. If the RIAREQUEST form is received with the original _____ application, a wet signature is not required.
  4. 6. Sutton Bank, Pathward, and Bancorp are examples of _____ banks.
  5. 9. The two required forms are the Advisory Fee Instructions and the Advisory Fee _____ Agreement forms.
  6. 10. Lincoln keeps a copy of the ____ Credit Authorization for Advisory Fees form on the O drive.
  7. 12. RIAREQUEST work items are created to set up payment of _____ fees to agents.
  8. 13. If there is a _____ on the contract, the maximum advisory fee percentage is 1.25%.
  9. 17. The US _____ Act requires financial institutions to establish an anti-money laundering program.