Using Starting Point, you can create accounts for new or existing clients. Tolaunch the Starting Point, click the Starting Pointlink from the Newdropdown menu.

_{Figure 1: Starting Point –Launching from Smart Office}

The following prompt appears.Click on the New Account icon.

_{Figure 2: Creating New Accounts}

After  selecting  the New  Account  icon, the  following  window  appears.Based  on  your  requirements, select New Client, Existing Client or Multiple Clients.

_{Figure 3: Opening accounts for new or existing clients}

_{Figure 4: New Clients form}

When you selectNew  Clientthe  following window  appears.There  are differentsections  in  the  form–Details,Spouse, Rep, Primary Beneficiariesand Contingent Beneficiaries.

The section’s cardinality(the number of records present in the section)appears next to these links once you add records to the respective sections.

Note; All sectionsmarked with a red asterisk (*) are mandatory.All fields marked with(*)in these sections are mandatory.All other required fields for each Client Typeare listed in the table below (refer to the sub-table)

By  clicking  on  the  links  present  on  the  left  side  of  the  dashboard,  you  can  quickly  navigate  to therespectivesection in the form.

When you select Existing  Client, the  following  screen  appears. Use  the  filter  parameters on  the  left  to search for a client. Click on the icon next to a parameterto select a filter condition. In the above example, the begins withfilter condition on the last name (‘Kra’) results in two records. To choose a client account, click on its record row.When you select an account, Docupace presents the user with a series of Account Wizardsteps.Learn more...

_{Figure 5: Searching for Existing Clients}

Step 1: Select the vendor you would like to use.

Here, the Vendor refers to the financial institution where your account is held

Step 2: Select a state from the drop-down list. Else, select No State Required.

Step 3: Select aregistration type from the drop-down list.

At every stage, the selections of the previous stage are visible underHistory.

Step 4: Select an account service fromthe drop-down list. Else, select No Account ServiceRequired.

Step 5:Select an account option from the drop-down list. To skip this step, click on Nextor Select None.

After completing the Account Wizard steps,a summary screen opens. Review all the details entered for  accuracy.  Based  on the answers  provided  in  the Account  Wizard,  the  system presents  the  user with all the appropriate forms. You can add any additional forms available to the required set of forms:

1.To add additional forms, click Add Forms in the Required Forms section. Select one or more forms from the library.

2.To move  forms from the Optional  Forms section into the Required  Forms section, click on the Add button.

Alternatively, click Remove to move the forms back to the Optional Forms section.

A history of the answers you chose is included on the right hand side; you can click any of those items to go back and change your answers in the wizard if necessary.

After reviewing all the details, click on the Create Work Item button

_{Figure 11: Creating Work Items} 

Using Starting Point, you can create accounts for new or existing clients. Tolaunch the Starting Point, click the Starting Pointlink from the Newdropdown menu.

_{Figure 1: Starting Point –Launching from Smart Office}

The following prompt appears.Click on the New Account icon.

_{Figure 2: Creating New Accounts}

After  selecting  the New  Account  icon, the  following  window  appears.Based  on  your  requirements, select New Client, Existing Client or Multiple Clients.

_{Figure3: Opening accounts for new or existing clients}

_{Figure 4: New Clients form}

When you selectNew  Clientthe  following window  appears.There  are differentsections  in  the  form–Details,Spouse, Rep, Primary Beneficiariesand Contingent Beneficiaries.

The section’s cardinality(the number of records present in the section)appears next to these links once you add records to the respective sections.

Note; All sectionsmarked with a red asterisk (*) are mandatory.All fields marked with(*)in these sections are mandatory.All other required fields for each Client Typeare listed in the table below (refer to the sub-table)

By  clicking  on  the  links  present  on  the  left  side  of  the  dashboard,  you  can  quickly  navigate  to therespectivesection in the form.

When you select Existing  Client, the  following  screen  appears. Use  the  filter  parameterson  the  left  to search for a client. Click on the icon next to a parameterto select a filter condition

Figure 5: Searching for Existing Clients

In the above example, the begins withfilter condition on the last name (‘Kra’) results in two records. To choose a client account, click on its record row.When you select an account, Docupace presents the user with a series of Account Wizardsteps.Learn more...

Step 1: Select the vendor you would like to use.Here, the Vendor refers to the financial institution where your account is held

Step2:Select a state from the drop-down list. Else, select No State Required.

Step3:Select aregistration type from the drop-down list. At every stage, the selections of the previous stage are visible underHistory.

Step4:Select an account service fromthe drop-down list. Else, select No Account ServiceRequired.

Step5:Select an account optionfrom the drop-down list. To skip this step, click on Nextor Select None.

After completing the Account Wizard steps,a summary screen opens. Review all the details entered for  accuracy.  Based  on the answers  provided  in  the Account  Wizard,  the  system presents  the  user with all the appropriate forms. You can add any additional forms available to the required set of forms:

1.To add additional forms, click Add Forms in the Required Forms section. Select one or more forms from the library.

2.To move  forms from the Optional  Forms section into the Required  Forms section, click on the Add button.

Alternatively, click Remove to move the forms back to the Optional Forms section.

A history of the answers you chose is included on the right hand side; you can click any of those items to go back and change your answers in the wizard if necessary.

Note: After reviewing all the details, click on the
Create Work Item
button

_{Figure 6: Creating Work Items}

The Actionpane describes which step the work-itemis in the process. In this example we are in Pending AdvisorReview

The ePACs Work Itemspanedisplays some of the work item’s attributes. Click onthe work item row to open its Detailsform

The Client Documents pane displays the list of all the forms filedin the Work Item. Click on thecorrespondingrow to open the form in the Document Viewer

The Required Formspane displays the list of all therequired forms present in the Work Item. Click on theOpenbuttonto view the form in the Document Viewer

The OptionalFormspane displays the list of all theoptionalforms present in the Work Item. Click on theAddbuttonto move a form into the Required Formspane.

The Client Folderpane displays some basic attributes of theaccount owner such as the first and last name.  Click on the row to see the entire list of attributes.

The Client Subfolderpane displays some basic attributes of theaccount. Click on the row to open its Detailsform.

As  shown  in  the  above  image, the Work  Item  window  is  split  into different  panes.  Scroll  down  to the Client  Documentspane and click on each of the documents. Review the corresponding documents as they appear in the DocumentViewer. Ensure that the documents include correct information.

_{Figure 8: Accessing client documents}

Note: Using validation prompts, Docupace walks you through the missing information and helps you fill out and ensure the accuracy of the information entered. This reduces, if not completely remove, any NIGOs from the account opening process.

Note: Docupace will not validate every field.  Validations are in place to prompt the user ensuring any required fields are filled in as well as other fields that are important but not required for successful application processing.  It is important to look at all the validations -both red andyellow-to reduce thepossibility of the investmentapplication from being NIGO'd back to you.

Fill out the fields as indicated by the color-coded validation prompts:

• The  fields  marked  in redare mandatory.  You  cannot send  the  item  for  review  or  e-signing until you fill out these fields.
• The fields marked in yelloware optional. Although you can send the item for review or e-signing without filling in these fields, it is advisable you do so.

Click the icon to savethe changes in your documents

_{Figure 9: Action Pane > Actions Dropdown}

For new accounts, the account application with be the first document presented to the rep. On saving the document:

1.All validation prompts for the filled-in fields are cleared out.

2.If  the  forms  share  common  attribute  types  (for  example,  an  account  number  field),  then  the data entered in oneform is cascaded down to all the other forms to reduce the amount of data entry necessary

.After filling out the forms, you can reassign the forms or gather signatures from the clients, as required.

Use the buttons in the Actionpane to take the next step

Note: Once  all  the  forms  are  filled  out  satisfactorily,  click  on Actions> eSignto  start  the  eSigning process. Else, click on Actions> Combine  and  Printto gather  the forms for wet signatures . For  more  information,  refer  to  the eSigning –In-Person  and  Remoteand Preparing Documents for Wet Signuser guides.