Introduction: This page describes how, as a rep, you can open new accounts through the Docupace Starting Point.
Sections of the Work Item Screen
After creating the Work Item, the system displays the following screen:
Actions (A): This section shows the task queue within the workflow where the Work Item is currently located. In this example, it is in the Back Office Pre-Screen queue. You can see all actions you can perform on the Work Item to move it through the workflow or assign it to other users.
Client Work Item (B): The Client Work Item pane displays the Work Item’s attributes. Click on the Work Item row to open its full Work Item Details.
Client Documents (C): This section displays the list of all the scanned images or PDF forms included in the Work Item. Click on the corresponding row to open the form in the Document Viewer. Click Create New to add another document to the Work Item.
Required Forms (D): The Required Forms pane displays the list of all the required forms for this Work Item. The list is based on your selections in Starting Point, such as Registration Type, Service Options, etc. The system adds Required Forms to the Work Item automatically.
The Open link shows a preview of an empty form in the Document Viewer.
Optional Forms (E): The Optional Forms pane displays the list of all the forms that you may additionally need for this Work Item but are not mandatory. you may
The Open link shows a preview of an empty form in the Document Viewer.
Click the Add link to add this form to the Work Item and then fill it out in the Document Viewer.
Client Folder (F): The Client Folder pane displays the list of account owners. Click on a row to see the Client Folder Details.
Client Subfolder (G): The Client Subfolder pane displays some basic attributes of the account. Click on the row to open Client Subfolder Details.
Clearing Validations on the Forms
The left pane of the Document Viewer shows validation messages for fields that are not filled out as expected.
Mandatory Fields: The fields marked in red are mandatory. You cannot send the item for review or eSigning until you fill out these fields.
Optional Fields: The fields marked in yellow are optional. Although you can send the item for review or eSigning without filling in these fields, your BD recommends doing so.
Note: Docupace will not validate every field. It is essential to look at all the validations (both red and yellow) to reduce the possibility of the investment application being NIGO'd back to you. Also make sure to fill out all relevant fields in the PDF form.,
Synchronizing Data Between Forms
For new accounts, the account application will be the first document displayed to you. When you save the document, the following will occur:
Note: Once all the forms are filled out, reviewed, and approved, click Actions > eSign to start the eSigning process. Otherwise, click Actions > Combine and Print to print the forms in a batch for wet signatures. For more information, refer to the eSigning Remotely and In-Person and Preparing Documents for Wet Sign user guides.