Inbound Verification · Custodian & Carrying Broker Side
The FVD-R Receive Workflow
Custodians and carrying brokers field Letters of Free Funds from dozens of executing brokers every day — many still arriving by email and fax. FVD-R receives every request on one channel, uses AI to index and route even unstructured submissions, and lets your desk respond in minutes instead of hours.
Inbound LOFF Received
TriggerA Letter of Free Funds request arrives from an executing broker. FVD-R accepts it on a single centralized channel — whether it comes through the FVD network, a partner API, or legacy email and fax from brokers not yet digital.
AI Indexing & Classification
System ControlEvery request — including unstructured PDFs, scans, and email bodies — is automatically parsed, classified, and matched to the correct account, desk, and request type. No manual sorting, no inbox triage.
Manual Triage Queue
Low-confidence or unmatched items route to a review queue where staff confirm the account in a click; the model learns from each correction.
Account & Balance Lookup
ComplianceFVD-R surfaces the relevant account, free-credit balance, and designation directly against your books and records — giving the reviewer everything needed to act without leaving the screen or rekeying data.
Reviewer Verification
Supervisory ReviewAn authorized operations user verifies availability and selects a response with one action — confirm, deny, or provide prime-brokerage routing — under role-based permissions and supervisory sign-off.
Operations Escalation
A shortfall or data discrepancy is escalated to the Ops desk with full context, so the issue is resolved bilaterally before the settlement window closes.
Standardized Response Generation
ComplianceFVD-R structures the decision into a standardized digital response, applies required approvals, and timestamps the sign-off — eliminating free-form replies that are hard to track and reconcile.
Secure Encrypted Transmission
SecurityThe response is returned to the requesting executing broker over the centralized channel, end-to-end encrypted with TLS 1.3 / AES-256 — closing the loop without touching commercial email or fax.
Regulatory Archive & Audit
Retention · AuditThe inbound request, indexing metadata, reviewer actions, and outbound response are stored together WORM — giving the receiving firm its own complete, retrievable SEC Rule 17a-4 audit trail for every letter it answers.
Index, Don't Sort
Email, fax, and PDF requests are parsed and matched to accounts automatically — turning a manual inbox into a structured queue.
Hours → Minutes
One-click verification with balances surfaced in context lets desks clear inbound requests well inside the T+1 window.
Your Own Audit Trail
The receiving firm retains a complete, searchable 17a-4 record of every request it received and how it responded.
Two Sides, One Network
FVD-R Receives. FVD-S Sends.
FVD-R is the custodian and carrying broker's Receive side. The executing broker that originates the request works the other half of the loop with FVD-S — generating and transmitting the Letter of Free Funds.