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How to Use Starting Point

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Introduction

: You can use Starting Point to put together the forms you need for opening new accounts and maintenance activities

. ETI Quik Forms (partnering with Docupace) handles the form management

. This guide describes how, as a rep, you can launch Starting Point

.

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Open New Accounts

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Using Starting Point, you can create accounts for new or existing clients.

Step 1: To launch the Starting Point, click the Starting Point link from the New dropdown menu.

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_{Figure 1: Starting Point –Launching from Smart Office}

Step 2: Click on the New Account icon.

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_{Figure 2: Creating New Accounts}

Step 3: After selecting the New Account icon, the window shown in Figure 3 appears. Based on your requirements, select New Client, Existing Client, or Multiple Clients.

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_{Figure 3: Opening accounts for new or existing clients}

New Clients

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_{Figure 4: New Clients form}

When you select New Client the following window appears.There are different sections in the form: Details, Spouse, Rep, Primary Beneficiaries, and Contingent Beneficiaries. The links on the left side of the dashboard, you can quickly navigate to the respective section in the form.

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The section’s cardinality (the number of records present in the section) appears next to these links once you add records to the respective sections.

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All sections and fields marked with a red asterisk (*) are mandatory. All other required fields for each Client Type are listed in the table below (refer to the sub-table).

FieldsDescriptionDetailsUse this section to provide basic details about the clientClient Type

Select the client type from the following options:

Person
Beneficiary
Business/Entity
Other
Prospect
Trust

The following sub-table provides the list of fields required to be filled in when you select a particular type:

Type	Required Fields
Person	Last Name, First Name, TIN/SSN, Rep
Beneficiary	Rep
Prospect	Company Name, TIN/SSN, Rep
Business/Entity	Company Name, TIN/SSN, Rep
Trust	Company Name, TIN/SSN, Rep

Client Status

Select a status from the following options:

Status	Required Fields
Active Client	If the new client is an active one, select this option.
Inactive Client	If the status of the new client is currently inactive, select this option.
Prospect	If you want to send the client status as a potential client, select this option.

Business Type

Select a business type from one of the following options:

Broker Dealer
Unaffiliated
Non BD
Type
Independent RIA
INS

SpouseUse this section to add a spouse’s details. Click on the Add button and select Client Folder. A table displaying the existing client records appears. Select the spouse’s record, if presentSelect Button

Click on the checkbox next to the record you want to select, and then click the Select button.

This button is activated only if you select at least one record.
When you click this button, the New Client Form appears again. The Spouse section displays the selected record.
You can add only one record to the Spouse section. When you select more than one record, the system uses the last selected record to populate this section.

Create New ButtonClick this button to enter a new record into the system. A new client form appears.Cancel ButtonTo cancel one or more selections, click this button. The checkboxes are reset.Rep

Use this section to add one or more reps’ information. Click on the Add button. A table containing the existing reps’ records appears. Select the required rep(s).

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For more information on how to add records, refer to the Spouse section

Primary BeneficiariesUse this section to add the primary beneficiaries of the client. Click on the Add icon to add the details.Details sectionIn the Relationship field, select the beneficiaries’ relationship with the client.Secondary Client

Use this section to add a secondary client.

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For more information on how to add records, refer to the Spouse section.

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After adding the secondary client, click Save on the top-right corner. You are routed back to the main form. The Primary Beneficiaries section displays the list of the added beneficiaries

Secondary Beneficiaries

Use this section to add the secondary beneficiaries.

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For more information on how to add beneficiaries, refer to the previous section.

Form Submission

To take an action on the client form, refer to the following table.

Click the...To...Save ButtonSave the changes and submit the form.Cancel ButtonTo close the form without saving changes Tip

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When you save the form, Docupace presents the user with a series of Account Wizard steps.

Existing Clients

When you select Existing Client, the following screen appears. You can narrow down the results by using the search filters on the left side of the page.

Step 1: Click on the icon next to a parameter to select a filter condition.

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In Figure 5, the "begins with" filter condition on the last name (‘Kra’) results in two records.

Step 2: To choose a client account, click on its record row. Tip

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When you select an account, Docupace presents you with a series of Account Wizard steps.

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_{Figure 5: Searching for Existing Clients}

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Account Wizard

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_{Figure 6: Selecting the Vendor}

Step 1: Select the vendor you would like to use.

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Vendor refers to the financial institution where your account is held.

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_{Figure 7: Selecting the State}

Step 2: Select a state from the dropdown list.

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You may also select No State Required.

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_{Figure 8: Selecting a New Registration Type}

Step 3: Select a registration type from the dropdown list.

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You can view the selections you have made so far under the History section.

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_{Figure 9: Selecting the Account Services}

Step 4: Select an account service from the dropdown list. Otherwise, select No Account Service Required.

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_{Figure 10: Selecting the Account Option}

Step 5: Select an account option from the dropdown list.

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To skip this step, click on Next or Select None.

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Reviewing and Creating Work Items

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After completing the Account Wizard steps, a summary screen opens. Review all the details entered for accuracy. Based on the answers provided in the Account Wizard, the system presents the user with all the appropriate forms. You can add any additional forms available to the required set of forms.

Add Forms: To add additional forms, click Add Forms in the Required Forms section. Select one or more forms from the library.

Move Forms: To move forms from the Optional Forms section into the Required Forms section, click on the Add button.

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Alternatively, click Remove to move the forms back to the Optional Forms section.

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A history of the answers you chose is included on the right hand side; you can click any of those items to go back and change your answers in the wizard if necessary.

Step 3: After reviewing all the details, click on the Create Work Item button.

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_{Figure 11: Creating Work Items}

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Filling out the Forms

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After creating the work item, the user is presented with the following screen:

Sections of the Work Item Screen

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_{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.

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_{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

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_{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

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_{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.

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_{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.

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_{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.

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_{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.

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.

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_{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:

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_{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.

and create a new Work Item in Docupace. Once the Work Item is created, it goes through your company’s approval workflow and then gets sent to the Back Office for processing. Other systems may be integrated with the Docupace API for a smooth New Account Opening (NAO) procedure.

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title	Version History

Date	Change
March 2024	Updated for clarity and UI look & feel.
January 2023	Latest Starting Point updates.

Versions Compared

Old Version 15

New Version Current

Key

Open New Accounts

New Clients

Form Submission

Existing Clients

Account Wizard

Reviewing and Creating Work Items

Filling out the Forms