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titleVersion History

Date

Change

July 2022

Initial Version

Change History

Contents

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Overview

The Compliance TRACKR app makes it easy to send disclosures and track the recommendations that you provide to clients. The app is dynamic, which means your choices affect the fields that appear on the screen. Refer to the sections below to learn how to complete tasks in the app.

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Sending Disclosures

Tip

Tip: If you want to send disclosures and track recommendations at the same time, refer to the Sending Recommendations section instead.

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Search for a client by name or SSN/TIN.

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Select a client from the list (A), click Create New Client (B), or Search Again (C).

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The system displays the Client Info screen. Take the following actions:

1. Select Disclosure as the type of Work Item you want to create.

2. Select the Rep number.

Note: If you are only associated with one rep code, this field will be filled automatically.

3. Confirm the client’s information.

4. Click Next.

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  1. Select the disclosures that you want to send.

  2. Click Next.

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Note: If you select Form ADV 2A/2B, the screen will change and ask you to confirm the rep code.

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Provide any notes or comments.

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Select one of the following delivery methods, then click Submit.

  • Email requires you to add an email and physical address.

  • Mail requires a physical address.

  • In-Person requires the date.

Note: If the client declined e-consent previously, then you will need to reset their e-consent if it is no longer applicable.

Remove the current consent review record from the client folder. The consent history will still be recorded on the site, but the consent review status will be reset. 

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The system will display a confirmation message. Click View to access the Work Item containing the documents.

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Click TRACKR Disclosure Notes to view the notes you provided.

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The system opens up a window to display your notes. Click Close when you are finished.

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Providing Recommendations

The Compliance TRACKR asks different questions based on the type of recommendation that you select. However, the steps are the same.

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Search for a client by name or SSN/TIN.

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Select a client from the list (A), click Create New Client (B), or Search Again (C).

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The system displays the Client Info screen. Take the following actions:

  1. Select Reccomendation as the type of Work Item you want to create.

  2. Select the Rep number.

  3. Confirm the client’s information.

  4. Click Next.

Note: If you are only associated with one rep code, this field will be filled automatically.

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Note: The Disclosures tab will flash for a moment before loading the Document tab. This allows you to add disclosures later if needed.

Review the Disclosure Delivery Record (1) on the Document tab and determine if you need to send disclosures.

If so, click the Previous button (2), then follow Steps 4 and 5 in the Sending Disclosures section before returning to the Recommendations tab.

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Select the type of recommendation. Click Next.

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Answer the questions on thescreen (1), then click Next (2).

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If you did not provide any disclosures, the system displays a reminder that no documents will be sent to the client. Click Submit.

Tip

Tip: If you are providing disclosures, complete Steps 6 and 7 in the Sending Disclosures section.

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The system creates a Work Item with no documents and displays a confirmation message.

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Once the Work Item reaches the end of the Workflow, the system adds a form with your recommendations.

Note: This prevents recommendations from being accidentally sent to the client alongside any disclosures.

Audience: Field Users

Functionality: The Compliance TRACKR app allows users to track recommendations and send disclosures to clients.

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