Resolving Missing Financial Document

Step 1: Verify Document Generation

1. Log in to the document management system.
2. Locate the document using the provided tracking/reference number (e.g., FIN987654).
3. Confirm that the document was generated successfully on the expected date (e.g., August 7, 2024).
4. Check for any errors or issues reported during the generation process.

Step 2: Check Document Distribution

1. Verify that the document was sent to the correct recipient, ensuring the client’s contact details (email or postal address) are accurate.
2. Review the distribution logs to confirm that the document was dispatched on the expected date.
3. If the document was sent via email, check for any bounce-back notifications or delivery failure reports.
4. If the document was sent by postal mail, confirm the tracking information with the delivery service provider.

Step 3: Investigate Potential Delivery Issues

1. If the document was sent via email and no delivery failure was reported, ask the client to check their spam/junk folder.
2. For postal delivery, check with the delivery service provider for any delays or issues.
3. If the document cannot be located, consider regenerating and resending the document.

Step 4: Regenerate and Resend the Document (If Necessary)

1. If the original document is confirmed missing or undelivered, regenerate the document using the same Prism Template (e.g., Client Financial Statement).
2. Ensure that all client details are correct before sending the document again.
3. Send the document using an alternative method if the original delivery method failed (e.g., send via email if postal mail failed).

Step 5: Provide the Client with a Case Reference Number

1. Generate a case reference number within your case management system for tracking purposes.
2. Notify the client of the case reference number and inform them that the issue is being resolved.
3. Provide an estimated time frame for when they can expect to receive the missing document.

Step 6: Document the Resolution Process

1. Record all actions taken in the case management system.
2. Include details of the investigation, document regeneration, and communication with the client.
3. Close the case once the client confirms receipt of the document.

• Regularly monitor your document management and delivery systems for any recurring issues that could lead to missing documents.
• Establish a backup communication channel with clients to ensure critical documents can be delivered via alternative methods if necessary.

By following these steps, you can effectively investigate and resolve issues related to missing financial documents. Prompt resolution ensures client satisfaction and helps maintain trust in your financial services.