Step 1: Identify the Investor

Each discussion tracked using this app MUST be associated with a prospect/client (investor). The first step in the process is to determine if the investor is already in the system or if you need to create a new prospect/client.

_{Figure 1: Client Search}

Step 2: Provide Discussion Details

Next, enter the details related to the conversation that you had with the investor. Answering these questions is optional.

Attention: Your specific configuration may differ from the images shown here.

Note: This page may be bypassed depending on your firm’s configuration.

_{Figure 9: Client Disclosure Details Screen Showing Required Fields}

Step 3: Select the Method of Disclosure Delivery

There are three ways that you can deliver disclosures. Read The Process to learn more about what happens after you click Next.

_{Figure 14: Delivery Method Selection Screen}

Confirmation Screens by Delivery Method

Mail

The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The recipient’s mailing address appears below the confirmation message.

The system creates a task in the Pending Client Mail Delivery queue.

_{Figure 23: Mail Delivery Confirmation Screen}

Electronic

The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. It also displays the email address that will receive the disclosures.

The system sends the investor an email with a hyperlink to the electronic disclosure documents.

_{Figure 24: Electronic Delivery Confirmation Screen}

Personally Supplied

The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The system displays the investor’s email address and mailing address.

_{Figure 25: Personally Supplied Delivery Confirmation Screen}

Docupace Platform User Guides

Investor Identification and Disclosure Delivery Process Guide

Analytics