Using Starting Point, you can create accounts for new or existing clients. To launch the Starting Point, click the Starting Point link from the New dropdown menu.

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

The following prompt appears.Click on the New Account icon.

_{Figure 2: Creating New Accounts}

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.

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

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

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

By clicking on the links present on the left side of the dashboard, you can quickly navigate to therespectivesection in the form.

When you select Existing Client, the following screen appears. Use the filter parameters on the left to search for a client. Click on the icon next to a parameterto select a filter condition. In the above example, the begins withfilter condition on the last name (‘Kra’) results in two records. To choose a client account, click on its record row.When you select an account, Docupace presents the user with a series of Account Wizardsteps.Learn more...

_{Figure 5: Searching for Existing Clients}

_{Figure 6: Selecting the Vendor}

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

Here, the Vendor refers to the financial institution where your account is held

_{Figure 7: Selecting the State}

Step 2: Select a state from the drop-down list. Else, select No State Required.

_{Figure 8: Selecting a New Registration Type}

Step 3: Select aregistration type from the drop-down list.

At every stage, the selections of the previous stage are visible underHistory.

_{Figure 9: Selecting the Account Services}

Step 4: Select an account service fromthe drop-down list. Else, select No Account ServiceRequired.

_{Figure 10: Selecting the Account Option}

Step 5:Select an account option from the drop-down list. To skip this step, click on Nextor Select None.

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:

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

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

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

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.

After reviewing all the details, click on the Create Work Item button

_{Figure 11: Creating Work Items} 

Figure 12: 

The Actionpane describes which step the work-itemis in the process. In this example we are in Pending AdvisorReview

Figure 13: 

The ePACs Work Itemspanedisplays some of the work item’s attributes. Click onthe work item row to open its Detailsform

Figure 14: 

The Client Documents pane displays the list of all the forms filedin the Work Item. Click on thecorrespondingrow to open the form in the Document Viewer

Figure 15: 

The Required Formspane displays the list of all therequired forms present in the Work Item. Click on theOpenbuttonto view the form in the Document Viewer

Figure 16: 

The OptionalFormspane displays the list of all theoptionalforms present in the Work Item. Click on theAddbuttonto move a form into the Required Formspane.

Figure 17: 

The Client Folderpane displays some basic attributes of theaccount owner such as the first and last name. Click on the row to see the entire list of attributes.

Figure 18: 

The Client Subfolder pane displays some basic attributes of theaccount. Click on the row to open its Detailsform.

As shown in the above image, the Work Item window is split into different panes. Scroll down to the Client Documentspane and click on each of the documents. Review the corresponding documents as they appear in the DocumentViewer. Ensure that the documents include correct information.

_{Figure 19: Accessing client documents}

Note: Using validation prompts, Docupace walks you through the missing information and helps you fill out and ensure the accuracy of the information entered. This reduces, if not completely remove, any NIGOs from the account opening process.

Note: Docupace will not validate every field. Validations are in place to prompt the user ensuring any required fields are filled in as well as other fields that are important but not required for successful application processing. It is important to look at all the validations -both red andyellow-to reduce thepossibility of the investmentapplication from being NIGO'd back to you.

Fill out the fields as indicated by the color-coded validation prompts:

• The fields marked in redare mandatory. You cannot send the item for review or e-signing until you fill out these fields.
• The fields marked in yelloware optional. Although you can send the item for review or e-signing without filling in these fields, it is advisable you do so.

Click the icon to savethe changes in your documents

_{Figure 20: Action Pane > Actions Dropdown}

For new accounts, the account application with be the first document presented to the rep. On saving the document:

1.All validation prompts for the filled-in fields are cleared out.

2.If the forms share common attribute types (for example, an account number field), then the data entered in oneform is cascaded down to all the other forms to reduce the amount of data entry necessary

.After filling out the forms, you can reassign the forms or gather signatures from the clients, as required.

Use the buttons in the Actionpane to take the next step

Note: Once all the forms are filled out satisfactorily, click on Actions> eSignto start the eSigning process. Else, click on Actions> Combine and Printto gather the forms for wet signatures . For more information, refer to the eSigning –In-Person and Remoteand Preparing Documents for Wet Signuser guides.