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Overview: Starting Point is a wizards within Docupace that walks a user through creation of work items for new accounts or for account maintenance. It is the engine that drives the bundling of forms to build out work items within Docupacebundles forms for each work item.

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titleVersion History

Date

Change

May 2023

Updated for current functionality.

October 2020

Initial Version

When an advisor launches the Docupace

's

Starting Point

solution (

either from the Docupace system or from a 3rd party CRM

partner)

integration, a

New Request screen

wizard opens and guides them through

an 'interview'

a step-by-step process to help determine the required form set.

Based on the advisor’s answers

provided by the advisor

, the system assembles appropriate forms

are assembled

into a packet (Work Item) for the advisor to process. The advisor can either print the forms for a client's wet signature (and subsequent imaging into Docupace), or process the work completely electronically (

Signature Pad or eSign) within Docupace. Required Form SetsImage RemovedRequired form sets

eSign).

Image Added

Audience: BAs, CAs, Administrators, Developers.

Info

Functionality: The Docupace Client Activity workflow is a highly configurable framework.

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titleRelated Pages
cqllabel in ( "admin" , "configuration" , "starting-point" ) and type = "page"

Forms Matrix

The Forms Matrix is where the Starting Point questions are configured:

Rw ui steps macro
Rw step

Access the Forms Matrix by navigating to: Administration > List Management > Forms Matrix.

Rw step

Select Submit to review any existing configurations to the matrix. If none exist, then the screen will appear blank and you can add a new record.

Rw step

The index fields are as follows:

Name

Description

Request Group

This is more of a general grouping, such as New Account, Maintenance, etc., that is used to classify the general request (Wizard Question #1).

Derived Request Type

This determines the correct request type for routing the work through the workflow. This is the request type that will be automatically assigned to the created work item.

Derived Client Subfolder Type

When a new account is requested, a Docupace Client Subfolder is created and the Subfolder Type is assigned (usually Brokerage or Advisory, but it may be different depending on the broker-dealer (BD) configuration).

Required

A Yes/No field. If you select Yes, then all forms listed in the record reside in the Work Item and must be used. If No, then there is a separate process (explained in more detail in the Forms page of this guide).

Entity

This provides the ability to filter the request by entity (if it is set up in your site).

Forms

For this you search for and add the forms that will be associated to the various linkages/combinations.

Vendor/Custodian

This is used to select the vendor.

Info

Example: The Clearing Firm, BD, or Direct (Wizard Question #2).

Product Type

This is used to select what product type may drive specific forms (Wizard Question #3).

Registration Type

(Wizard Question #4).

Account Service

Not required. This is a free list to give user more flexibility. (Wizard Question #5).

Account Option

Not required. This is a free list to give user more flexibility. (Wizard Questions #6).

Info

Example: After using the wizard, a completed record may look like this:

Tip

Tip: In this example, the following will occur:

  1. A client subfolder will be created with the associated subfolder information of Subfolder Type Brokerage, Registration Type of Individual, and Product Type of Brokerage.

  2. A subfolder linked to a newly created work instruction with a Request Type of New Account – Brokerage and a single form will be assigned to this work item: Pershing New Account Instructions (based on the fact that only one form was selected in the matrix).

Completed Record Example

Example of a completed record

  • Request Group: New Accounts

  • Vendor/Custodian: Pershing

  • Product Type: Brokerage

  • Registration Type: Individual (not visible)