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Hello everyone and thank you for joining us to learn more about the Docupace R1 2021 release. My name is Nanique Castro and I'm a project manager with Docupace on the Product Development team. You'll be hearing from the rest of the Product Development team regarding the exciting new features in our release one for 2021. I'll transition this over to Richard Thoeny to get us started.

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Hi and welcome to the Docupace R1 2021 Release On-Demand Webinar. My name is Richard Thoeny. I'm Vice President of Product Management for Docupace. And I'd like to welcome you to the release webinar. We're going to walk through what we've been working very hard over lots of features and functions that we've added to the platform.

We're very excited to show you some of these. I'm going to give a high level summary of what's in the webinar. And then we're going to jump over and let the Product Team actually dive in and show you some of the details. So from a summary standpoint, the key enhancements that we've added, the first one is Advanced Task Assignment.

This is a really powerful tool to be able to control at a very granular level. The routing of work within the queue. So we have a lot more control over skill levels and things that can be added to the platform, so you can route work accordingly and do lots of interesting things with the management of the operational side of things. Direct New Account, opening app: many of you know, that we have developed a Pershing and fidelity account opening wizards.

And now we've actually added to that library and we've done a Direct New Account Opening app. So very excited to show you that. Multi-fax number: we now have the support to have multiple fax numbers per vendor. So actually there's unlimited at this point, you can do as many as you want, but you can route things through different fax numbers to go to different departments within a vendor.

Very exciting. Pershing Advisor Solutions, new account opening via API. So we've had Pershing Retail or Pershing Brokerage Account opening for quite a number of years. And now we've added the Pershing Advisor Solutions . So just as you can reserve accounts, get those account numbers posted to documents, and then let clients sign with the account numbers on there.

And then push the data and images directly into Pershing, and now you can do it with Pershing Advisor Solutions and get account numbers open directly, and that platform, so, very exciting. Innovations and integrations. We've added quite a few integration partners. First is Advice Pay. So Advice Pay is a fee billing system.

And we now have the ability to automatically ingest the documents and artifacts created out of that and then index them into Docupace. Very excited about that. Jaccomo, hopefully you heard the exciting news about the acquisition of Jaccomo by Docupace. We're very thrilled to have the whole Jaccomo team join us.

And we're looking forward to all the interesting things that we're going to go build together. But we have actually been working with them for quite a while on an integration. So we have an integration. We're going to show you how that works today. And then obviously with the joint powers of Docupace and Jaccomo, there's going to be a lot more for us to share with you over the course of the next six months. So very excited to have the Jaccomo team. be part of the Docupace. Laser App. We have a partnership now with Laser App and they are a forms library that we can access. So now we have the ability to either use QUIK! or Docupace and, host the forms directly with Docupace,

or now we can use Laser App. So we can use them as a forms library, Configuration Management or One-Click Deployments. This is a very long-term project or program that we've been working on. So I try to get the updates with each of the releases. With this one, we're actually rolling out the ability for you to control and manage your own deployments of configuration.

So this is the ability for you to control the configurations between different environments and so you can roll them up and move them up from lower environments into your upper environments. So a number of advancements there, very excited to show you that. And then product highlights: application preferences.

I always like to try to share with you some of the application preferences that we've added to the platform. These are the knobs you can turn and buttons you can push to make the platform behave like you would like. We have almost 600 application preferences.

So lots of ways to control the experience and control how Docupace works. So we'll share a few of those with you. And then finally SIGNiX. This is actually controlled through an application preference, but SIGNiX is an e-sign vendor and there is an optional short certificate. So this is the signing certificate.

And now you can choose whether you want to use the long one or the short one. So we're going to show you that. So with that, I will turn it over to the Product Team and we'll jump in to see some of the details.

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We are excited with the recently announced partnership between Docupace and Jaccomo. Our first system integration is with Jaccomo's JCORE system. JCORE is a books and records solution for Jaccomo. This is a two-way integration that pulls data from JCORE to assist advisors with form population within Docupace. Upon Work Item completion, Docupace then transmits the data back to JCORE to assist with keeping data between the systems in sync.

Also included in this integration is for users of Jaccomo to be able to access documents, held within Docupace through the use of hyperlinks. This is the first of many exciting things to come with this partnership.

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Next up is the Docupace Direct New Account Opening app. Many of you are probably familiar with the fact that we have developed wizard experiences for Pershing and Fidelity. And now we've continued that by adding a Direct New Account Opening wizard or app this experience is very different than interacting with a form.

You're interacting with a screen that's dynamically generated. Questions and answers will drive other questions and answers in a cascading manner. It's a very elegant experience for the user. Controls across the top and then some pages within the navigation, so they can move around very easily.

See where you're at in the process, jump back and forth if they need to. being able to just select buttons really speeds up the process. The whole experience is very different than interacting with a form. This is primarily used for your proprietary new account opening form, but any other forms in the bundle, whatever data is collected would also map to those. If for whatever reason some data is missing on those forms, then when they get to the process of actually dropping this data onto the form for signatures, then we'll ask for that additional information through the traditional validation process.

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The next item in the release is called Send Fax Directions. It is something we have been asked about many times. We are very excited to present a solution that supports multiple fax numbers for a Vendor/Custodian. The Send Fax Directions domain allows you to add fax numbers, and configure rules for when the platform should use those numbers.

For each rule, you can select specific Work Item properties, like Product Type, Registration Type, Entity, and BD.

We also created an action that matches a Work Item's properties to the rules in the Send Fax Directions domain. If a Work Item matches multiple fax number rules, then it narrows down the fax number by priority.

I have some example rules configured here. So if you have an American Funds Work Item with a Request Type of Change of Address and a Product Type of Advisory, then the Work Item would be faxed to this number because 75 has a higher priority than 50.

But if you had a Request Type of Change of Address and the brokerage product type. Then your work item would be faxed to this other number because the priority of 50 is higher than 25.

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I'd like to call out some new application preferences introduced in this release. The first is webview "duScrollOffset." This resolved an issue that caused the system to scroll past section headers when navigating using the left-hand menu. This application preference is a numerical value that by default will be set at 102.

The higher, the number, the greater the distance between the Page header in the Section header.

At times when using the left-hand navigation buttons, you would see the section header be hidden by the page header or vice versa. It might be too low. Now after this application preference, there's a consistent spacing between each.

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Enabling these will allow you to choose a specific Work Item document while in the PDF viewer or page through to the next or previous documents.

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In the last release we introduced the configuration management tool. This tool allowed users to view recent site changes as well as compare the differences between sites. In this release. We have enhanced the tool to allow for one click deployments. Users with access to the configuration management tool and permission for deployment functionality via an application preference can leverage this new functionality to deploy changes.

You'll start in the same manner as if you were comparing sites. The target site is a site you'd like to deploy to. Make sure you enter the URL without the _UI, and then your target site login and password information.

In this example, I'll just compare a few domains. The deployments are based on Reason for Change listed in each domain modified. So when configuring in the lower environments, please remember to use a consistent reason.

after comparing sites filter on your reason for change this lists all the different changes done for the reason "Test May 2021". From here, I have the ability to deploy partial or none at all. Once you choose what you would like to deploy, click on, create deployment.

From here, you have the ability to cancel the deployment or execute. When executing, you're going to be asked for a username and password of the target site, as well as an option to Simulate. Simulate will run a mock deployment ,catching any potential errors.

In this example, everything was good. So now, if I go back to deployments and click Deploy, I'll unselect Simulate, and fully deploy into my target site.

After the deployment is complete, you'll get a message stating that the deployment was good.

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It is best practice to make your configurations changes in the lowest environment and test the deployment in a higher non production environment. When deploying to Production please remember to do so outside your normal business hours to reduce risk for you and the users. You will only be able to deploy to your target site if you have access in that site to update or add records in those domains. In my example, I added a validation. If I did not have access to add validations in my target site, I would not be allowed to do that in deployment. Widgets and Security Manager will not be available to be updated via One Click Deployment.

And if you need any assistance, Or if you do not feel comfortable executing your own deployments, your support team at Docupace is always available for assistance.

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there's actually not a lot to show because it's just a lot of behind the scenes passing of data and information back and forth. So I'm gonna walk you through just kind of a diagram of how it works . as the billing statements are produced in Advice Pay. We have a polling process where we can go out and check for any new invoices, run that query since the last time things were downloaded and then ingest those in to Docupace. And then we attempt to autoindex those documents. We'll read the metadata that comes over with them the client information, investor information, and then we'll try to go out and find the right home in Docupace and index those documents.

And if we can, we'll just automatically index it directly into the Client Folder or Sub-folder and then if for some reason we cannot, then we actually put it into a queue and then it is manually indexed. somebody goes in, and then puts it in the right place in Docupace.

That's the Advice Pay Docupace integration.

Our next integration is Docupace and Laser App. We're very excited to have a new partnership with Laser App. This one is relatively straight forward. Again, there's not a lot to see or show because Laser App is a forms library, and now we have the option of connecting Docupace to that forms library.

Historically we've used QUIK! or we've hosted those forms ourselves. And now Laser App is a new partner. We can access their forms library, and then use those documents to process business within Docupace.

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Next up, I wanted to share the exciting new partnership that we have with Advice Pay. Docupace and Advice Pay put an integration together where we can ingest Advice Pay documents. If you don't know, if you haven't been familiar with it, Advice Pays a fee billing payment solution for service financial planning. They do the billing go through the process. And then we have the ability to import and process the invoices directly into Docupace.

there's actually not a lot to show because it's just a lot of behind the scenes passing of data and information back and forth. So I'm gonna walk you through just kind of a diagram of how it works . as the billing statements are produced in Advice Pay. We have a polling process where we can go out and check for any new invoices, run that query since the last time things were downloaded and then ingest those in to Docupace. And then we attempt to autoindex those documents. We'll read the metadata that comes over with them the client information, investor information, and then we'll try to go out and find the right home in Docupace and index those documents.

And if we can, we'll just automatically index it directly into the Client Folder or Sub-folder and then if for some reason we cannot, then we actually put it into a queue and then it is manually indexed. somebody goes in, and then puts it in the right place in Docupace.

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Our next integration is Docupace and Laser App. We're very excited to have a new partnership with Laser App. This one is relatively straight forward. Again, there's not a lot to see or show because Laser App is a forms library, and now we have the option of connecting Docupace to that forms library.

Historically we've used QUIK! or we've hosted those forms ourselves. And now Laser App is a new partner. We can access their forms library, and then use those documents to process business within Docupace.

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As part of Advanced Task Assignment, which we will talk about shortly, we added the holidays domain so that the holiday calendar can now be configured by a BA or BD admin. This means you no longer need to log a support ticket into Docupace engineering each year to update the holiday schedule.

This update is a simple configuration that requires the name of the holiday, the holiday date, a business start time, a business end time, and a reason for adding/changing.

The holiday will be added to the domain and the system will automatically determine whether the day falls on a weekend. This domain will be available in the new version for all sites, whether or not you choose to use Advanced Task Assignment .

The last item in the release is Advanced Task Assignment. This functionality provides an additional layer of filtering to assign Work Items. This feature changes the behavior of the Get From Pool button while on the dashboard. When a user selects Get From Pool, the system compares the users list of held assignment rules against the Selected Assignment Rule of the top queued Work Item.

Then, if there is a match, the system assigns the Work Item with the highest priority to the user.

In addition to assigning Work Items to users with required rules, the system also calculates SLA timing for the Work Item and the current Work Item tasks. The system sorts Work Items in a pool, according to each Work Item's priority and calculated task target start time. This allows the system to assign Work Items in an order that a ligns with the target SLA.

We created the Get From Pool assignments, domain to store the rules that an organization needs to set in order to properly distribute the work and set Task SLAs .

For each rule, you can select specific Work Item properties, like Request Type, Vendor/Custodian, Registration Type, Product Type, Client Subfolder Type or status, Legal State, Check Amount Maximum, Litigation Hold, or whether the Work Item has money.

You can also select Work Item properties associated with the rep attached to the Work Items, such as Region code, OSJ code, branch, BD, or engagement level.

As a Work Item transitions through the workflow, the system matches that Work Item's properties to the rules in the Get From Pool Assignments domain

The rules that are matched will be populated on the Work Item in the applicable assignment rules section.

The Work Item is then assigned to the one rule from the list of applicable rules based on priority. This rule determines which users can retrieve the Work Items using Get From Pool.

The rule assigned to the Work Item for that task will be displayed in the Selected Assignment Rule field.

I have some example rules configured here.

This rule gives VIP advisors a white glove treatment. Their Work Items are given shorter SLAs and a specific task queue, so that the system assigns these Work Items as the priority.

In this example, the system gives Work Items. marked as "With Money" a same day SLA of 3:00 PM in the New Account Review queue for account set up. Additionally, if the check is over a certain amount, the rule limits who can retrieve the task and work this item.

Get From Pool Assignment rules need to be assigned to the users under the User Access Domain, in order for the system to match the users to Work Items.

This can be done manually or by using the new ADV file load that will add or remove a rule to a user access record.

Some of the benefits of advanced task assignments are: less dependency on Reassign, as users should only pull up Work Items they are skilled to process.

The number of data roles can be minimized. And the potential for fewer workflows, as you should not need to separate out the types of requests as often.

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Thank you team. Now I'm going to chat about how to get this deployed into your environment and the available resources. This release includes connect version 4.6 and core version 23.7, but you can refer to it as the Release 1 2021. Along with the link to this webinar, you should have a link to the online resources and the complete documentation for this release.

There are release notes that explain in more detail, the features that we've mentioned in the release recap email, items covered in today's webinar, and more. This resource also includes a link to documentation on all of our previous releases. So to implement this newest release, here's a few things to consider. First, you'll work with your support manager to express interest, and determine a good target start date.

This will begin the process of deployment into your non production environments and the necessary testing cycle. Once the testing has been successfully completed through all of your lower levels, you'll schedule a deployment to production where again, you'll complete a review and validation for go live.

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