The Tracker BI Tracker TrackerProcess
- Mercedes Rothwell
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Work Item Screen
After you complete the Tracker BI app, the disclosures and notes are gathered together. In Docupace, this is called a Work Item.
You can do a number of things on this page such as:
Read and print the disclosures
View notes about the process
Access the client discussion notes
Figure 26: Work Item Screen
Figure 27: Work Item Notes Button
Figure 28: Note About Electronic Delivery
Figure 29: Client Discussion Details Button
Figure 30: Client Discussion Notes
Searching for A Tracker BI Work Item
You can search for specific Tracker BI Work Items using the Reg Bi search configuration. On the Client Document search page, click the dropdown list, then select Reg BI. This configuration allows you to narrow your search by the delivery method or delivery date.
Figure 31: Reg BI Search Configuration
Mail Delivery
If you select Mail as the delivery method, the system creates a task in the form of a Work Item in the Pending Client Mail Delivery queue. Admins can create an exportable report of items in this queue by navigating to Administration>Reports>Epacs.
Tip: You can narrow results by searching by the Work Item creation date.
Advisor Note: The system adds the following note to the Work Item when the task is created.
Mail disclosure delivery created for [client first, last, masked SSN] to be delivered to: [address, city, state, zip]
Figure 32: Mailed Disclosures Process
Next, a financial professional or associate must physically print and mail hard copies of the disclosures. After sending the disclosures, the user must manually complete the step by clicking the Complete button in the Work Item.
Advisor Note: The system adds the following note to the Work Item when the disclosures are printed.
Mail disclosure delivery printed for [client first, last, masked SSN] to be delivered to: [address, city, state, zip]
Figure 33: Report of Items in Pending Client Mail Delivery
Electronic Delivery
If you choose to send disclosures Electronically, a task is created in a queue called Pending Client Electronic Review.
The system sends an email to the investor with a link that remains active for five calendar days. After the investor clicks on the email link, the system will ask them to provide their consent to receive the disclosures electronically.
If an investor has declined electronic consent in the past, then electronic delivery is no longer an option when a user gets to the Delivery Method screen.
Figure 34: Electronic Disclosures Process
If the investor consents to electronic delivery, then the system displays the disclosures. Finally, the system automatically completes the task and marks the Work Item as Complete. However, if the investor does not click the emailed hyperlink within five calendar days or if the investor opts out of electronic disclosures, then the Work Item is forwarded to the Pending Client Mail Delivery queue to manually send a hard copy.
Figure 35: Consent Review Field
Personally Supplied Delivery
If you select Personally Supplied, the system marks disclosures as provided. It also tracks the date that the disclosures were provided on. This is automatically set to the current date, but it can be edited if necessary. Though the Work Item is now complete, you can still open the Work Item to view and/or print the disclosures.
Figure 36: Personally Supplied Disclosures Process