DFS Investments SFL Investments. XPRESSuite Navigation Guide

Transcription

1 DFS Investments SFL Investments XPRESSuite Navigation Guide February 2017

2 Table of Content Table of Content... 2 Introduction... 4 Limitations... 4 Entry Rules... 5 Navigation Principles... 5 Save the Information... 5 AccountXPRESS... 6 Accessing AccountXPRESS... 6 Landing Page... 7 "Start" Tab... 8 "Client" Tab... 9 Personal and Contact Information... 9 Additional Client Information "Account" Tab "KYC" Tab "Review" Tab "Confirmation" Tab OrderXPRESS Accessing OrderXPRESS Landing Page "Start" Tab Internal Transfer "Order" Tab Purchase External Transfer In Internal Transfer "Trade" Tab Purchase and External Transfer In Switch Internal Transfer External Transfer Out Redemption "Products" Tab (Segregated Funds Only) (Modifications February 2017) "Review" Tab for a Transaction "Confirmation" Tab for a Transaction Review Tab for Several Transactions in the Basket Manage Basket Tab The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 2 of 41

3 Confirmation Tab for Several Transactions in the Basket Generation of forms Access Generate Forms Search for a client with Client/Corporate Name Search for a client with Advanced Search Fund Facts Access Fund Facts Enter the Product Add to Favourites Select the Submission Method Update Client Profile Access Update Client Profile Update Tab Review Tab Confirmation Tab The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 3 of 41

4 Introduction This guide is designed to give an overview of the main functionalities of XPRESSuite. XPRESSuite is a module that allows users to create accounts and submit orders to obtain pre-filled forms. Below is the meaning of the icons used: Icon Meaning Explanatory note Warning Link to the table of contents Link to the beginning of a section All information entered in AccountXPRESS and OrderXPRESS will be present during the generation for the following forms: Self-directed Account opening; Client name Account opening; Self-directed TFSA Account opening; Letter of direction. For all other forms, only the section regarding client information will be completed. Limitations Below are the limitations that could arise in AccountXPRESS or OrderXPRESS: Pre-complete all fields or sections of the form (e.g.: ICT, PAD, dealer code, etc.) Make transactions for fixed income products and Accumulation annuities. Make a transaction with a commission rebate. These transactions must always be made in the main Univeris interface. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 4 of 41

5 Entry Rules : This icon means that XPRESSuite will present a list of possible matches as you enter text (at least three characters). If the required item is not displayed, enter additional characters. Enter the information in uppercase with no accent. In the "Last name", "First name" and "Address" fields, hyphens and apostrophes can be used. Symbols such as "?, cannot be used. In an address and a note, hyphens, apostrophes and the above-mentioned symbols can be used. Ensure the client's account does not already exist. Some mandatory information may not be applicable for certain types of accounts such as corporate, formal trust and estate accounts. When this is the case, enter "N/A" in the mandatory fields for the transaction not to be considered incomplete. Navigation Principles It is possible to leave a field blank at any moment during entry if the information is unknown. All the fields must however be completed prior to clicking "Submit". The fields that must be completed are displayed based on the data previously entered (e.g.: the beneficiary section is displayed when a Self-directed plan is chosen). The term "Account" is used to designate a "Plan". Save the Information The information can be saved and a session can be resumed at any time. When a saved session is resumed, a dialog box appears and offers a choice between the latest information, if a change has been made since the last visit, or the saved information. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 5 of 41

6 AccountXPRESS Accessing AccountXPRESS Landing Page "Start" Tab "Client" Tab "Account" Tab "KYC" Tab "Review" Tab "Confirmation" Tab Accessing AccountXPRESS The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 6 of 41

7 Landing Page The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 7 of 41

8 "Start" Tab To open a formal trust, select "Corporate" as the ownership and "Formal Trust" as the ownership type. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 8 of 41

9 "Client" Tab Allows you to enter or add personal and contact information on the client when opening an account, including ID verification, employment and banking information. Personal and Contact Information The format of the telephone number must be entered as: "area code-xxx-xxxx". For a corporation or a formal trust, the identification must be done at two levels: the entity and the related party (signing officer, trustee, etc.). The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 9 of 41

10 Additional Client Information The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 10 of 41

11 "Account" Tab Provides details on the account type that was selected under the "Start" tab. The fields and optional sections available are determined by the plan type selected under the "Start" tab (e.g.: if a LIF plan was selected, the tab will include LIF details and the "Designate Beneficiary" section). Fee for service must be entered at the following screen. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 11 of 41

12 "KYC" Tab Enter the client and plan KYC information under this tab. For a plan with a loan, the description must include the reference to the loan and the "Loans / Collateral" usual screen must be completed on the main Univeris interface. The "Balanced" option under "Investment Objective(s)" is not a valid choice. If selected, this section will remain blank in the form. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 12 of 41

13 "Review" Tab Lists all errors or omissions that must be corrected before submitting the application. Pre-filled forms can be generated under this tab. A form printed prior to clicking "Submit" will not include the client and/or plan number. The form printed after clicking "Submit" will indicate these numbers. The final form(s) are generated automatically when the transaction is submitted. The account is now created and can be viewed only on the main Univeris interface. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 13 of 41

14 "Confirmation" Tab Confirms that the account was successfully created. The details are displayed and the form(s) are generated automatically. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 14 of 41

15 OrderXPRESS Accessing OrderXPRESS Landing Page "Start" Tab "Order" Tab "Trade" Tab "Products" Tab (Segregated Funds Only) "Review" Tab for a Single Transaction "Confirmation" Tab for a Single Transaction Review Tab for Several Transactions in the Basket Manage Basket Tab Confirmation Tab for Several Transactions in the Basket If a new plan must be opened before processing a transaction, open the plan in AccountXPRESS or on the main Univeris interface before entering the transaction in OrderXPRESS. The "Letter of Direction" is not generated for certain types of transactions that do not require this form (e.g.: external transfer out from a registered account, in kind transfer in, etc.). No entry is necessary for: Deposits to group registered retirement savings plans (GRSP) under a Client Name or Intermediary account. Create the plan and the funds. Deposits to the intermediary s cash account. The cheque should be payable to the intermediary. Forward the instructions and the cheque to the intermediary. The business day following submission of the cheque, verify the amount available in the cash account. Switch of maturing labour sponsored funds. Enter a note and send all instructions directly to the fund company or the intermediary. Payment to the client from the intermediary cash account. Add a note in the plan's "Details" menu with "General Inquiry" as subject and send all documents to the intermediary. Accessing OrderXPRESS OrderXPRESS can also be accessed by clicking "OrderXPRESS" under the "Orders" tab. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 15 of 41

16 Landing Page The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 16 of 41

17 "Start" Tab Allows you to select the appropriate transaction to process according to the type of registration and plan. Internal Transfer The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 17 of 41

18 "Order" Tab Presents additional information in relation to the order and plan type selected (e.g.: withdrawal type for registered plans). Purchase To purchase assets from more than one product type, enter the transactions separately. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 18 of 41

19 External Transfer In To purchase assets from more than one trust category, enter the transactions separately. For TFSA to TFSA transfers, select the "Transfer of existing TFSA money" option. Internal Transfer The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 19 of 41

20 "Trade" Tab Displays the payment or investment options available based on the order type. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 20 of 41

21 Purchase and External Transfer In If the mention "No match found " appears while entering the holding, check if the advisor's licence matches the type of investment. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 21 of 41

22 Switch Internal Transfer A net redemption entered in a Self-directed or an Intermediary account means that it is net of deferred sales charge (DSC) only. Taxes and fees are deducted from the amount redeemed. To know the net amount to be entered in Univeris (taxes and administration fees for Intermediary accounts included), contact the head office for Self-directed accounts or the intermediary for Intermediary accounts. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 22 of 41

23 External Transfer Out Redemption The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 23 of 41

24 "Products" Tab (Segregated Funds Only) (Modifications February 2017) Includes information regarding segregated funds products (e.g.: annuitant, beneficiary and signing province). The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 24 of 41

25 For a purchase or an external transfer in: Complete the Annuitant Information section only for: o DFS Investments/SFL Investments Self-directed plans; o Corporate accounts; o In trust for accounts; and o Joint accounts. Select the beneficiary type. Select Revocable" for Self-directed and Intermediary accounts. For Self-directed accounts, enter DFS Investments or "SFL Investments as the beneficiary s first name. For Intermediary accounts, enter the name of the intermediary. For Self-directed and Intermediary accounts, enter the Self-directed or Intermediary account number as the intermediary s last name. For Self-directed and Intermediary accounts, select Other relationship from the Relationship drop-down menu. "Review" Tab for a Transaction Allows you to validate the transaction details, review compliance exceptions (if applicable) and submit the transaction. The final form(s) are generated automatically when the transaction is submitted. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 25 of 41

26 "Confirmation" Tab for a Transaction Confirms that the order was successfully submitted. The details are displayed and the form(s) are generated automatically. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 26 of 41

27 Review Tab for Several Transactions in the Basket Displays more than one transaction on the consolidated Letter of Direction. The following elements must be identical for all transactions in the same basket: Client Account Type Plan Type Plan KYC The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 27 of 41

28 The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 28 of 41

29 Manage Basket Tab The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 29 of 41

30 Confirmation Tab for Several Transactions in the Basket The display of the Letter of Direction generated from the OrderXPRESS basket option will vary according to the type of transactions entered. Indeed, for two-sided transactions, such as switches and internal transfers, the Letter of Direction will display one page per transaction entered. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 30 of 41

31 Generation of forms Access Generate Forms Search for a client with Client/Corporate Name Search for a client with Advanced Search Access Generate Forms The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 31 of 41

32 Search for a client with Client/Corporate Name Examples: A minimum of three characters is needed to activate the search. The search will be more precise as characters are added. Last name: "Smith" Results with "smi": The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 32 of 41

33 Results with "smith": Search for a client with Advanced Search The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 33 of 41

34 When clicking on "Advanced Search", the following screen will appear. Enter the client's information in the appropriate fields. A list of clients is generated based on the chosen criteria. The client's information appears on the left top corner. The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 34 of 41

35 Fund Facts Access Fund Facts Enter the Product Add to Favourites Select the Submission Method Access Fund Facts The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 35 of 41

36 Enter the Product Add to Favourites The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 36 of 41

37 Select the Submission Method The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 37 of 41

38 Update Client Profile Access Update Client Profile Update Tab Review Tab Confirmation Tab Access Update Client Profile The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 38 of 41

39 Update Tab The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 39 of 41

40 Review Tab The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 40 of 41

41 Confirmation Tab The masculine gender is used in this document for readability purposes only with no discrimination intended. Page 41 of 41