CITEX officers operational process: warning letter: issuing a warning letter
THIS GUIDANCE IS FOR CITEX OFFICERS ONLY
Once their manager has agreed the decision to issue a CPWL after reviewing the CPAC, the Compliance Officer must
- using the SEES C30 template generate the CPWL. Include a dummy CCP reference number at this stage
- send a copy of the CPAC and draft CPWL to the CITEX CCP Network team via CITEX CCP Network team to get the warning letter checked. The CCP team will then issue a CCP reference number
- post the original to the trader
- record the issue of the CPWL on Caseflow and upload a copy to Documentum
- Email the final copy to the CITEX CCP Network team.