Adviser Application Form

Transcription

1 Please complete this form in CAPITAL LETTERS using black ink and return to Novia Client Services, PO Box 4328, BATH, BA1 0LR. For our records, if you were introduced to Novia by another firm outside of your network (if applicable), please provide the FCA number and name of the referrer 1 Firm Details of Firm FCA authorisation number Do you have FCA managing investment permissions? Yes No If yes, please provide your Legal Entity Identifier(LEI) number Firm Address Street number/ Building name Contact name Street name District Telephone (Inc. area code) Town/City County Fax Country Postcode Is your organisation an appointed representative of another firm? Yes No Novia Regional Sales Manager If Yes please provide the following details: of organisation FCA authorisation number Please note: If you are the first appointed representative to sign up for the Novia service from a network, we will also require a completed Terms of Business Application form for the network. Contact Novia Client Services on for a list of networks currently signed up to the service. 2 Details for payment of Adviser Charges of Bank/ Building Society of Firm to receive the payment(s) Branch Account Street name District Town/City County Branch Sort Code Account Number Postcode Country Page 1 of 6

2 3 Business processes Would you like us to send client documentation directly to your clients? Yes No Please note that if you select No for the above option, client documentation will be sent to yourselves for forwarding on to clients. You must have obtained client authority in order for us to send them to you. This does not include any regulatory documents that must be sent directly to Clients. 4 Novia Extranet Access To enable us to allow the appropriate website access levels for the Users within your Firm, we will need you to allocate the following permissions to them Adviser, Firm Owner, Firm Administrator and Paraplanner. An explanation of the permission levels are as follows: Advisers Advisers have full access to all the research and transactional tools available on the website. They will also be able to submit any application online to Novia. Advisers will only be able to see details of Clients that are linked to them, including ones set up by their Paraplanner. In addition, they will be able to view Adviser Charge details and book summary details pertaining to their business. Firm Owner The owner, be it a senior director, partner or sole trader of the organisation, will have access to a range of managed information relating to their Firm, including the full book summary and Adviser Charge summary. They will also have access to information about their Advisers including Adviser Charges earned, number of Clients linked to each Adviser and the value of their holdings. Firm owners will require a separate login as Advisers should they wish to transact business online. Firm Administrator The access level of the Firm Administrator is the same as the Firm Owner, but the role is to manage appropriate security and access rights for users of the Novia system within their organisation. Paraplanner (web access for Paraplanners is set up by the Firm Administrator) Paraplanners have the ability to utilise the research and transactional tools, create clients, generate illustrations and complete application forms online. Any work carried out by a Paraplanner is always done on behalf of an Adviser and this is indicated on any generated documentation. Please indicate which individuals will be set up in these positions: At least one Adviser must be stated below; if the firm owner is also an Adviser they should be stated under both capacities. Advisers Title DOB* (DD/MM/YYYY) Individual FCA number address Page 2 of 6

3 Firm Owner Title DOB* (DD/MM/YYYY) Individual FCA number address Firm Administrator Title DOB (DD/MM/YYYY) address Novia Extranet Access continued Important Information about your website access: We would always recommend a platform overview session provided by a member of our dedicated Implementation Team prior to any access being provided. As such, a member of this team will be in touch to arrange this overview and to ascertain any training requirements that you may have. If you have any queries regarding this, please speak to your Novia Regional Sales Manager in the first instance. With regard to the Model Portfolio Manager (MPM) tool, access will only be provided once the training on this tool has been provided to and completed by at least one person within the firm, and upon receipt of the completed disclaimer confirming this. Access to the Novia Report Zone system will be provided to the above named appointed individuals by default, unless you confirm to us otherwise. The following access rights will apply for each role: > Firm Owner, Firm Administration and Paraplanners will be able to view management information for the entire organisation. > Advisers will only be able to view management information for their own clients. 5 Delegated Individual Under normal circumstances, we would request instructions from a director, sole trader or partner from within the firm as appropriate, in relation to the set-up of new Advisers, requesting Report Zone and Model Portfolio Manager access. If you wish to delegate this task to alternative individual(s) who have the appropriate authority to provide this on behalf of the firm, please complete their details below. Delegated Individual Title Job title address Title Job title address Title Job title address 6 Declaration I/We apply to use the Novia Wealth Management Service. I/We have read Novia's Privacy Policy as set out on Novia's website at and I/we understand and acknowledge Novia's use of my/our personal data as set out in the Privacy Policy I/We have read, understood and agree to the Novia Terms of Business. I/We will read and explain to our Client(s) the Novia Terms and Conditions. Page 3 of 6

4 I/We agree to having a platform overview session prior to the issuing of log ins. I/We agree that we will only allow authorised employees or representatives of the Firm to use the Novia Extranet subject to the Terms of Business. I/We will ensure that employees or representatives no longer authorised or who have left the Firm will not have access to the Novia Extranet as detailed in the Terms of Business. I/We would like access to Copia Models. Copia Wealth Management is the Discretionary Fund Manager available from Novia. This is an optional service to which you may select to have access. To be signed by a director, sole trader or partner as appropriate. Applicant s Position Contact number Date Page 4 of 6

5 Model Portfolio Manager Access Request This section must be completed to use model portfolios on the Novia platform. Access will only be provided once the training on this tool has been provided to and completed by at least one person within the firm, and Novia receive the completed disclaimer confirming this. 1 Adviser details of firm Key contact name Telephone number 2 Access Required for Advisers Create Model Edit Model Submit Model Delete/Remove Model Link/Delink Model Users with this privilege will be able to create and save new models. Models do not become active for use until they are submitted via the submit privilege Users with this privilege will be able to edit any model portfolio that has previously been created. Where the model edited is active and has clients invested within it a set of secondary trading administrative actions will take place for those clients on an automated basis (completing an edit to this extent will require the user to have the submit privilege also) Users with this privilege will be able to submit model to Novia and by doing so make the model active where submission takes place as part of the creation of a model or make the changes to the edit of a model final where the submission takes place as part of the edit process Users with this privilege will be able to delete unwanted models from the list available to them. Please note that models with associated client will not be available for deletion Users with this privilege will be able to associate active models to the clients they wish to provide these models for. Should users wish to delink clients from selected models this functionality will also enable them to do so Please note that the Link and Delink functionality at Adviser level will only allow the user to view clients directly associated to them and not those of their colleagues. Should users be required to view associated clients for multiple Advisers simultaneously they should be granted with paraplanner/master user access. This can only be achieved by completing the relevant sections on the subsequent page where the Adviser for whom the user has permission to manage clients for should be stated. Adviser Access Required Create Edit Submit Delete/ Remove Link/ Delink Page 5 of 6

6 Model Portfolio Manager Access Request 3 Access Required for Paraplanners or Master User Create Model Edit Model Submit Model Delete/ Remove Model Link/Delink Model Users with this privilege will be able to create and save new models. Models do not become active for use until they are submitted to Novia via the submit privilege Users with this privilege will be able to edit any model portfolio that has previously been created. Where the model edited is active and has clients invested within it a set of secondary trading administrative actions will take place for those clients on an automated basis (completing an edit to this extent will require the user to have the submit privilege also) Users with this privilege will be able to submit model to Novia and by doing so make the model active where the submission takes place as part of the creation of a model or make the changes to the edit of a model final where the submission takes place as part of the edit process Users with this privilege will be able to delete unwanted models from the list available to them. Please note that models with associated client will not be available for deletion Users with this privilege will be able to associate active models to the clients they wish to provide these models for. Should users wish to delink clients from selected model this functionality will also enable them to do so Paraplanner Access Required Create Edit Submit Delete/ Remove Link/ Delink Please list which Advisers you would like this Paraplanner to have access to Please list which Advisers you would like this Paraplanner to have access to Please list which Advisers you would like this Paraplanner to have access to Page 6 of 6 TBAA-0518