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Work Item Screen
After you complete the Tracker BI Widget, the disclosures and notes are gathered together. In Docupace, this is called a Work Item.
You can do a number of things on this page such as:
Read and print the disclosures
View notes about the process
Access the client discussion notes
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Figure 26: Work Item Screen
Figure 27: Work Item Notes Button
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Figure 28: Note About Electronic Delivery
Figure 29: Client Discussion Details Button
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Figure 30: Client Discussion Notes
Mail Delivery
If you select Mail as the delivery method, the system creates a task in the form of a work item in the Pending Client Mail Delivery queue. Admins can create an exportable report of items in this queue in Epacs Reportsby navigating to Administration>Reports>Epacs.
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Tip: You can narrow results by searching by the Work Item creation date. |
Advisor Note: The system adds the following note to the work item when the task is created.
Mail disclosure delivery created for [client first, last, masked SSN] to be delivered to: [address, city, state, zip]
Figure 31: Mailed Disclosures Process
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Figure 32: Report of Items in Pending Client Mail Delivery
Next, a financial professional or associate must physically print and mail hard copies of the disclosures.
After sending the disclosures, the user must manually complete the step by clicking the Complete button in the Work Item.
Advisor Note: The system adds the following note to the work item when the disclosures are printed.
Mail disclosure delivery printed for [client first, last, masked SSN] to be delivered to: [address, city, state, zip]
Figure 26: Mailed Disclosures Process
Figure 27: Report of Items in Pending Client Mail Delivery
Electronic Delivery
If you choose to send disclosures Electronically, a task is created in a queue called Pending Client Electronic Review.
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Pending Client Electronic Review: This queue is in the background and does not require actions from a user. |
The system sends an email to the investor with a link that remains active for five calendar days. After the investor clicks on the email link, the system will ask them to provide their consent to receive the disclosures electronically. You can view information about the client’s consent in the Client Folder.
Figure 33: Electronic Disclosures Process
Advisor Note: The system adds the following note to the work item when it is created.
Electronic disclosure created and sent to: [client first, last, masked SSN] email address: [email address]
Figure 28: Electronic Disclosures Process
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Consent: Once the investor opts into electronic delivery, their choice is saved. The system will not display the e-consent prompt in the future for that investor. You can view information about the client’s consent in the Client Folder. |
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Consent Declined If the investor opts out of electronic delivery, the system will not allow you to select this option for the investor in the future. |
If the investor consents to electronic delivery, then the system displays the disclosures. Finally, the system automatically completes the task and marks the work item as Complete.
However, if the investor does not click the emailed hyperlink within five calendar days or if the investor opts out of electronic disclosures, then the work item is forwarded to the Pending Client Mail Delivery queue to manually send a hard copy.
Personally Supplied Delivery
If you select Personally Supplied, the system marks disclosures as provided. Users can still open the work item to view and/or print the disclosures.
Figure 34: Personally Supplied Disclosures Process
Advisor Note: The system adds the following note to the work item when it is created.
Personally Supplied disclosure created for: [client first, last, masked SSN] email address: [email]
Figure 29: Personally Supplied Disclosures Process