Case records: agents: viewing an agent’s record
You use the agent ID in function VWAG (View Agent) to see the record of any agent set up on COTAX. If you do not know the agent ID, use function TRAG (Trace Agent) to find it.
When you use VWAG, the following details are displayed.
- The owning office number.
- The agent’s name and address and whether that address is RLS or abroad.
- The agent’s contact details.
- The date that the agent ceased trading or was succeeded by another.
- If succeeded, the agent ID of the successor.
- A list of the agent’s COTAX clients, by using the [Client List] button.
- How and when the agent name, address and contact details where last changed, by using the [Last Changed] button.
If there are amendments to the agent’s details that have a future effective date, you also see those.
The client list for a succeeded agent remains under that agent’s identity. To obtain a full list of clients for the succeeding agent you must view the client list for the succeeding agent and for each agent that they have succeeded.
The list should be used for compliance purposes only where there is sufficient evidence to suggest that the use of a particular agent presents a compliance risk. You should be able to produce an audit trail to show the increased risk factors.
See COM44011 for a list of functions to use in particular situations.