You will receive some new files with a form Route 1 or Route
2 attached, and some without. The Compliance Group Risk Assessors (
IHTM07100) attach the Route 1 or 2
forms on all files seen by them. If neither form is attached the
file will have been received directly from FACET.
When present the forms Route 1 or Route 2 will indicate the
issues that the Risk Assessor has identified as needing your
attention, and this must be dealt with. Otherwise form ICES 1
should be attached, and there will be no guidance on the work
required for that account.
Whether or not a form Route 1 or Route 2 is attached it is
still necessary for you to review the new account form and
schedules (
IHTM08088) to identify if other issues
need to be dealt with.
If there is a Route 1 you only deal with the issues raised on
it.
If there is no Route 1, then you must review the new account
form and schedules (
IHTM08088) to identify if all of the
issues that need to be dealt with.
If your file does not have a form Route 1 attached it should have been referred from FACET and have been seen by the PC&S Divider. This person will have provided guidance notes on the form ‘80C’. If there are no guidance notes you must refer the file to the Compliance Group Risk Assessors ( IHTM07100) for risk assessment.
