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Introduction: This guide provides an overview of Send Fax Directions domain and instructions on how to create new Send Fax Directions.

Table of Contents

Table of Contents
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Change Log:

Date

Changes

June 2021

Comprehensive documentation about the Send Fax Directions domain (634)

Audience: Docupace Admins

Functionality: The Send Fax Directions domain allows firms to use multiple fax numbers per Vendor/Custodian.

Overview

Firms can use the following domains for completing the Fax-to-Fund action:

  1. The Vendor/Custodian domain (can only use one fax number per Vendor/Custodian)

  2. The Send Fax Directions domain (can use multiple fax numbers per Vendor/Custodian based on specific rules)

Note: By default, sites use the Vendor/Custodian domain. To use the Send Fax Directions domain instead, you must work with Professional Services.

Tip

Tip: Use the Send Fax Directions domain if you need to use more than one fax number for a Vendor/Custodian. For example, some vendors use a different number for each region or request type.

How does the Send Fax Directions action work?

The Send Fax Directions action

When Work Items (WI) reach the Sponsor Custodian queue, the system fires the Send Fax Directions action. This causes the system to match the WI properties to the records in the Send Fax Directions domain (634). The system narrows down the matching records to a unique match by using applicable fields and priority. It only brings back Active records, ignoring records where Is Active is set to No.

Tip

More than one match: If the system finds more than one active match in the Send Fax Directions domain, the system matches the record with the highest priority.

Note

No matches: The system will use the default fax number that is set for that sponsor/custodian in attribute lc116_r100901 (domain 116).

Warning

No fax number: The system will display a validation message explaining that the fax number could not be determined.

Priority

Priority determines which numbers the system will use if multiple criteria is true. For example, let us say three different WI reach the sponsor custodian queue. These WIs are as described in the table below.

  1. The first WI is a change of address for a brokerage account. The system uses the Fax Number for Change of Address because it has a priority of 50.

  2. The second WI is a change of address for an advisory account. The system uses the Fax Number for Advisory because it has a priority of 75.

  3. The third WI is a new advisory account. Since 100 is the highest possible priority, the system uses the directions for new accounts.

Examples

Creating new Send Fax Directions

The Send Fax Directions domain allows you to create custom rules for Vendor/Custodian fax numbers. There The Details section contains the three required fields.

  • Fax Number (A)

  • Vendor Custodian (C)

  • Priority (F)

The remaining sections are optional and each correspond with a Work Item property. These sections determine the types of Work Items that use the fax number. You can view step-by-step instructions by continuing past the screenshot.

Tip

Note: The Location columns in the step-by-step instructions correspond with the labels on the screenshot.

Filling out a new Send Fax Directions record

Rw ui steps macro
Rw step

Go to Administration>List Domains> Send Fax Directions (634).

Rw step

Click the New Send Fax Directions button.

Send Fax Directions Domain

Rw step

Fill out the required fields and any other fields as desired.

Location

Field

Type

Description

A

Fax Number (required)

xxxxxxxxxx

Enter the fax number that the system should use to send the matching Work Items.

Warning

Attention: Do NOT add dashes to the number. The system will be unable to send the fax.

B

Description

Text

Enter a description of the record. You may want to include the following information:

  • Specify where the number will send the fax

  • The intended use of the record

  • Overview of the rules

C

Vendor/ Custodian (required)

Dropdown

Select the Vendor/Custodian.

D

Active

Dropdown

Yes causes the system to include the record when identifying matches.
No causes the system to ignore the record.

E

Reason for Adding/ Changing

Text

Enter the reason you added or changed the record.

F

Priority (required)

Text (0-100-100)

100 is first and 0 is lastHigher numbers have higher priority. This determines which rules will activate if the system finds multiple matches.

Note: You only use a Priority number once for each Vendor Custodian. This means you can’t have two Schwab Send Fax Directions that both have a Priority of 25. However, you can have a Schwab and a Pershing Send Fax Direction that are both set to Priority 25.

Rw step

Optional: Add additional rules by searching for and selecting the criteria from the following sections.

Location

Section

Description

G

Product Type

Identify any product types associated with the fax number.

H

Registration Type

Identify any registration types associated with the fax number.

I

Request Type

Identify any request types associated with the fax number.

J

Entity

Identify any entities associated with the fax number.

K

BD

Identify any BDs associated with the fax number.

Rw step

Click Save and Close.