Client intake Current

Requesting missing information without delaying a time-sensitive matter

A practical escalation approach for missing information.

Even a well-run intake process sometimes hits a point where a client hasn't provided everything needed, and the matter is time-sensitive. This guide sets out a practical approach for chasing what's missing without letting it stall the matter unnecessarily. It reflects Vertical Flows' own operational practice, not an external regulatory requirement.

Action plan

1 Identify exactly what's missing A specific, itemised request is answered faster than a vague one.

A vague follow-up ('we still need a few things from you') is generally slower to resolve than a specific, itemised list of exactly what's outstanding. Reviewing the file against your intake checklist and naming precisely what's missing makes it easier for the client to respond quickly.

  • Review the file against your intake checklist to confirm exactly what's outstanding
  • Send a specific, itemised request rather than a general reminder
  • Note the deadline the missing information is needed by, and why

Done when: A specific, itemised list of missing information has been sent to the client

See how structured intake and review works
2 Use a second channel for genuinely urgent items A follow-up call or message can move things along faster than email alone when time is short.

If email alone isn't getting a response and the deadline is close, a phone call or another direct channel can move things along faster than another email. Reserve this for genuinely time-sensitive items rather than every outstanding request.

  • Escalate to a phone call or direct message when a deadline is close and email hasn't worked
  • Reserve escalation for genuinely time-sensitive items
  • Document each escalation attempt and its outcome

Done when: A second contact channel has been used for genuinely urgent outstanding items

See how structured intake and review works
3 Decide whether the matter can proceed without the missing item Some matters can proceed on a conditional basis; others genuinely can't.

Some matters can proceed on a conditional basis while a lower-risk item is still outstanding; others genuinely can't move forward until specific information or evidence is in hand (particularly identity or source-of-funds evidence). Make that call deliberately, and document the reasoning, rather than defaulting to either extreme.

  • Assess whether the matter can proceed conditionally on the missing item
  • Treat identity and source-of-funds evidence as a firm-practice priority, since your firm's own customer due diligence obligations govern whether you can proceed without them
  • Document the decision and the reasoning behind it

Done when: A deliberate, documented decision has been made on whether the matter can proceed

See requesting source-of-funds information for a higher-risk matter