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Return to Work - Short-Term Absence

An important step towards completing the absence management process is validating the work done by the Replacement Representative during the absence. Trading activities should be reviewed by the Servicing Representative upon his or her return to ensure that they are in line with suitability criteria and the client's instructions.

Activity Review

Upon his or her return, the Servicing Representative should review all activity conducted by his or her clients during his or her absence. The Servicing Representative must review and countersign Update forms for any accounts opened and updates made by the Replacement Representative during his or her absence