A Document From an Issuer You Don't Recognize: Logging the Name as Printed for the AI Pass

Jane Doe uploads her documents, and one statement prints an issuer name that isn't anywhere in her file. Nothing on the file index matches it.

That's the case this piece covers: unfamiliar issuer client documents, where a document shows an issuer name the Preparer can't match to anything in the client's file. In this method, the Preparer logs the issuer name exactly as printed, doesn't guess who the issuer is or link it to a name already in the file, and asks the client where the Firm's method calls for a question. Every entry drafted from that document stays open, marked by hand, for the Reviewer's decision.

The plugin drafts; the Firm's preparer prepares; the Reviewer signs off. Every step here is one the Firm writes and keeps, in whatever systems the Firm already uses, and the Firm can adapt the document-handling steps; the Reviewer's sign-off on the whole file stays as it is. This piece states no rule about which documents a client sends the Firm.

This piece gives an issuer log layout, a citation pattern, a client message, a marking table, a pre-review check, a Doe example and a line for the Firm's AI instructions.

An issuer name, a person's name, a file label

A person's name on a document that differs from the client file is covered in when the name on a document doesn't match the client file.

A file name that doesn't match what the pages show is covered in when the file name doesn't match the document.

This case is different: the name in question belongs to the organization that issued the document.

What counts as an unfamiliar issuer, in this method

In this method, the Preparer treats an issuer as unfamiliar when any of these is true:

• The printed issuer name isn't on the client's file index or in the client's notes to the Firm.
• The printed name looks like a name on the file index but isn't the same, letter for letter.
• The page prints more than one organization name and the Preparer can't tell which is the issuer.

If the Preparer can't tell, the Preparer treats the issuer as unfamiliar and logs it.

The issuer log

In this method, the Preparer adds a line to an issuer log on the file index for each unfamiliar issuer, then runs the drafting pass. The Firm can add this layout to its index.

The Preparer copies the name exactly as printed, with its spelling, short forms and punctuation, and doesn't shorten, correct or fill it out.

The Preparer doesn't guess who the issuer is, and doesn't link the name to an issuer already on the file index, even when the names look alike. If the page prints several organization names, the Preparer logs each as printed.

Citing the issuer as printed

In this method, the Firm's instructions ask for each drafted entry from that document to cite the file, page and issuer name as on the log, and the Preparer checks each citation by hand. A pattern the Firm can adapt:

"[file, copy ID], file page [page], issuer as printed: [issuer name from the issuer log]"

A line for the Firm's AI instructions

In this method, the Firm adds a line, in its own words, to its instructions for the drafting pass on a folder that holds a document from an unfamiliar issuer. A version to adapt:

"Unfamiliar issuer: [file, copy ID]. The issuer log lists the issuer name as printed. Cite each entry by file, page and the issuer name exactly as on the log; use no other issuer name. The Preparer checks and marks entries by hand."

The line is the Firm's wording, not a promise about what any drafting software does. In this method, the Preparer still checks each entry against the page it cites and the issuer log.

Asking the client about an issuer

Where the Firm's method calls for a client question, the Preparer asks about each unfamiliar issuer, as in the client question log. The Firm can adapt this message:

Hi Jane Doe, thanks for sending your documents. A page shows [organization name, exactly as printed], and we'd like to ask about it. Could you tell us what this document is for? If it comes from an organization you've told us about before under another name, please tell us which one. Thanks, [Preparer name] at [Firm]

If the Firm's own policy calls for other wording, the Firm's wording wins.

Marking entries drafted from the document

In this method, the Preparer marks by hand, in the entry's note, every entry drafted from a document on the issuer log. The Firm can rename the marks.

Every mark stays on its entry, and every entry from the document stays open for the Reviewer's decision.

When the client answers

If the client says what the issuer is, the Preparer quotes the answer on the log and in each entry's note, keeps the name as printed, and marks the entries "Issuer named by client".

If the client says the issuer is an organization already in the file under another name, the Preparer notes the answer beside both names and keeps each name as printed. The link rests on the client's words, quoted, and the Reviewer decides on each entry.

If the client can't say, the Preparer notes the answer and marks the entries "Issuer still unfamiliar". Each entry stays open for the Reviewer's decision, and any further document steps follow the Firm's own policy.

The pre-review check

In this method, the Preparer reads the file against this check before it goes to the Reviewer. The Firm can add its own lines.

• Each document with an unfamiliar issuer has a line on the issuer log.
• Each logged name is copied exactly as printed, with its file page and who logged it.
• No logged name was shortened, corrected or linked to another name by the Preparer.
• The Firm's instructions hold an unfamiliar-issuer line for each such document in the drafting folder.
• Each entry from such a document cites the file, page and issuer name as on the log.
• Entries drafted from such documents carry marks set by hand.
• Each unfamiliar issuer has a client question, where the method calls for one, and a note for the Reviewer.

Who logs and who decides

The Firm names people for the document-handling steps; the Reviewer decides on entries and signs off. People at the Firm do every document-handling step.

A mark or a log line tells the Reviewer where to look. It isn't a sign-off and doesn't stand in for one. The Reviewer sees every marked entry and the issuer log and decides what happens with each entry, and the Reviewer signs off on the whole file, issuer log included. No file is done without the Reviewer's sign-off.

A Doe example

The names and file below are made up for illustration.

Jane Doe is a synthetic client of the Firm. Alex Doe is the Preparer and Pat Doe is the Reviewer. Jane's file index lists Doe Bank and Doe Brokerage.

Jane uploads a statement whose page prints "Doe Bk Services" as the issuer. The name looks like Doe Bank, but it isn't the same letter for letter.

Alex logs "Doe Bk Services" exactly as printed, with the file, page and Alex's name, unlinked to Doe Bank. Alex adds the unfamiliar-issuer line to the Firm's instructions and runs the drafting pass on the folder. Alex checks each entry from the statement against its cited page and the log, and marks each "Issuer unfamiliar, open" by hand.

Alex sends Jane the message and logs it. Jane says Doe Bk Services holds a savings account of hers and isn't Doe Bank. Alex quotes her answer on the log and in each entry's note, and marks the entries "Issuer named by client".

Alex runs the pre-review check and sends the file to Pat. Pat reviews the marked entries and the issuer log, decides what happens with each entry, and signs off on the whole file.

Where TracePrep fits

We've built a TracePrep plugin that drafts these steps in your Firm's workflow, while your preparer decides and your Reviewer signs off. Join the waitlist and we'll tell you when plugin access opens.

Get on the list for plugin access

This is general information, not tax or legal advice. In TracePrep's workflow, the plugin drafts, the Firm's preparer prepares, and the Firm's Reviewer signs off. Access to the plugin is by waitlist. Keep client data inside the systems your Firm has approved.