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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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Table of Contents
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.
Figure 1: Starting Point –Launching from Smart Office
Step 2: Click on the New Account icon.
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.
Figure 3: Opening accounts for new or existing clients
New 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 links on the left side of the dashboard, you can quickly navigate to the respective section in the form.
Note
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 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).
Form Submission
To take an action on the client form, refer to the following table.
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.
Note
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
When you select an account, Docupace presents you with a series of Account Wizard steps.
Figure 5: Searching for Existing Clients
Account Wizard
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Figure 6: Selecting the Vendor
Step 1: Select the vendor you would like to use.
Tip
Vendor refers to the financial institution where your account is held.
Figure 7: Selecting the State
Step 2: Select a state from the dropdown list.
Tip
You may also select No State Required.
Figure 8: Selecting a New Registration Type
Step 3: Select a registration type from the dropdown list.
Tip
You can view the selections you have made so far under the History section.
Figure 9: Selecting the Account Services
Step 4: Select an account service from the dropdown list. Otherwise, select No Account Service Required.
Figure 10: Selecting the Account Option
Step 5: Select an account option from the dropdown list.
Tip
To skip this step, click on Next or Select None.
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.
Tip
Alternatively, click Remove to move the forms back to the Optional Forms section.
Tip
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.
Figure 11: Creating Work Items
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
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
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.
Tip
Use the buttons in the Action pane to take the next step.
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.