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Filling out the Forms |
Click on images to expand them.
After creating the work item, the user is presented with the following screen:
Sections of the Work Item Screen
Figure 12: Actions
Actions
This section describes which step the work-item is in the process. In this example we are in Pending Advisor Review.
Figure 13: ePACs Work Items
ePACs Work Items
The ePACs Work Items pane displays some of the work item’s attributes. Click on the work item row to open its Details form
Figure 14: Client Documents
Client Documents
This section displays the list of all the forms filed in the Work Item. Click on the corresponding row to open the form in the Document Viewer
Figure 15: Required Forms
Required Forms
The Required Forms pane displays the list of all the required forms present in the Work Item. Click on the Open button to view the form in the Document Viewer.
Figure 16: Optional Forms
Optional Forms
The Optional Forms pane displays the list of all the optional forms present in the Work Item. Click on the Add button to move a form into the Required Forms pane.
Figure 17: Client Folder
Client Folder
The Client Folder pane displays some basic attributes of the account owner such as the first and last name. Click on the row to see the entire list of attributes.
Figure 18: Client Subfolder
Client Subfolder
The Client Subfolder pane displays some basic attributes of the account. Click on the row to open its Details form.
Navigation
As shown in the previous section, the Work Item window is split into different panes. Scroll down to the Client Documents pane and click on each of the documents. Review the corresponding documents as they appear in the Document Viewer. Ensure that the documents include correct information.
Figure 19: Accessing client documents
Clearing Validations on the Forms
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Docupace will not validate every field. It is important to look at all the validations (both red and yellow) to reduce the possibility of the investment application from being NIGO'd back to you. |
Step 1: Fill out the fields as indicated by the color-coded validation prompts:
- The fields marked in red are mandatory. You cannot send the item for review or e-signing until you fill out these fields.
- The fields marked in yellow are optional. Although you can send the item for review or e-signing without filling in these fields, it is advisable you do so.
Step 2: Click the Save icon to save the changes in your documents
Form Synchronization
For new accounts, the account application with be the first document presented to the rep. When you save the document, the following events will occur:
Figure 20: Action Pane > Actions Dropdown
Event 1: All validation prompts for the filled-in fields are cleared out.
Event 2: If the forms share common attribute types (for example, an account number field), then the data entered in one form is cascaded down to all the other forms to reduce the amount of data entry necessary.
Event 3: .After filling out the forms, you can reassign the forms or gather signatures from the clients, as required.
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Use the buttons in the Action pane to take the next step. |
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Once all the forms are filled out satisfactorily, click on Actions > eSign to start the eSigning process. Otherwise,click on Actions and then Combine and Print to gather the forms for wet signatures. For more information, refer to the eSigning – In-Person and Remote and Preparing Documents for Wet Sign user guides. |
| Panel | ||||||
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Filling out the Forms |
Click on images to expand them.
After creating the work item, the user is presented with the following screen:
Figure 12: Actions
Actions
This section describes which step the work-item is in the process. In this example we are in Pending Advisor Review.
Figure 13: ePACs Work Items
ePACs Work Items
The ePACs Work Items pane displays some of the work item’s attributes. Click on the work item row to open its Details form
Figure 14: Client Documents
Client Documents
This section displays the list of all the forms filed in the Work Item. Click on the corresponding row to open the form in the Document Viewer
Figure 15: Required Forms
Required Forms
The Required Forms pane displays the list of all the required forms present in the Work Item. Click on the Open button to view the form in the Document Viewer.
Figure 16: Optional Forms
Optional Forms
The Optional Forms pane displays the list of all the optional forms present in the Work Item. Click on the Add button to move a form into the Required Forms pane.
Figure 17: Client Folder
Client Folder
The Client Folder pane displays some basic attributes of the account owner such as the first and last name. Click on the row to see the entire list of attributes.
Figure 18: Client Subfolder
Client Subfolder
The Client Subfolder pane displays some basic attributes of the account. Click on the row to open its Details form.
Navigation
As shown in the previous section, the Work Item window is split into different panes.
Step 1: Scroll down to the Client Documents pane and click on each of the documents.
Step 2: Review the corresponding documents as they appear in the Document Viewer.
Step 3: Ensure that the documents include correct information.
Figure 19: Accessing client documents
Clearing Validations on the Forms
| title | Note |
|---|
Docupace will not validate every field. It is important to look at all the validations (both red and yellow) to reduce the possibility of the investment application from being NIGO'd back to you.
Step 1: Fill out the fields as indicated by the color-coded validation prompts:
- The fields marked in red are mandatory. You cannot send the item for review or e-signing until you fill out these fields.
- The fields marked in yellow are optional. Although you can send the item for review or e-signing without filling in these fields, it is advisable you do so.
Step 2: Click the Save icon to save the changes in your documents
Form Synchronization
For new accounts, the account application with be the first document presented to the rep. When you save the document, the following events will occur:
Figure 20: Action Pane > Actions Dropdown
Event 1: All validation prompts for the filled-in fields are cleared out.
Event 2: If the forms share common attribute types (for example, an account number field), then the data entered in one form is cascaded down to all the other forms to reduce the amount of data entry necessary.
Event 3: .After filling out the forms, you can reassign the forms or gather signatures from the clients, as required.
| title | Tip |
|---|
Use the buttons in the Action pane to take the next step.
| title | Note |
|---|
Once all the forms are filled out satisfactorily, click on Actions > eSign to start the eSigning process. Otherwise,click on Actions and then Combine and Print to gather the forms for wet signatures. For more information, refer to the eSigning – In-Person and Remote and Preparing Documents for Wet Sign user guides.