Helpful icons on the Zurich Platform

Transcription

1 Notepad User Guide

2 Notepad This guide will help you when you are using the Zurich Intermediary Platform. It will take you through the screens you need to add and maintain Notepad items for new and existing Zurich Portfolios. Notepad is a means of capturing the details of single assets or policies not held on the Zurich Intermediary Platform. It will allow you to produce a valuation of all your client s assets and if you have access to the tools on the Platform, evaluate them using the FE tools. Once the assets or policy details have been submitted, the Platform will value them through a data feed from FE. Also included are instructions on how to transfer or re-register permitted Notepad assets to the Platform, including the generation of the required pre-populated documents. The guide can also be accessed by clicking the icon at the right hand side of the page, this feature is on all screens of the Platform. Once familiar with the system, this guide can be used as a reference document. Helpful icons on the Zurich Platform Contents Adding a Notepad item to an Existing or New Portfolio 3 Adding Notepad Items 4 Maintaining Notepad Items 10 Helpful information Enables you to edit the information Enables you to delete the information Denotes a mandatory detail. You must complete mandatory details to be able to move forward Producing Client Valuation Reports 14 Producing Documents to Re-register or Transfer Notepad items to the Platform 16 Enables you to save your work and exit the process. You can restart the process by selecting the item in your Work in Progress Expands the information Denotes that the portfolio is linked Notepad User Guide 2

3 Adding a Notepad item to an Existing or New Portfolio Existing portfolio To add a Notepad item to an existing Portfolio, select Existing portfolio > Portfolio search. Complete one or more of the Portfolio search options and click Search. On the results page, click on the desired Portfolio name, this will take you to the dashboard for that Portfolio. Click Existing portfolio > Existing portfolio new business checklist and go to Step 1 on the following page. New portfolio To add a Notepad item when setting up a new client Portfolio select New portfolio > New portfolio checklist add client details and go to Step 1 on the following page. TIP If you need assistance setting up a Portfolio please refer to our Investment New Business or our Retirement Account New Business guides. Notepad User Guide 3

4 Adding Notepad Items This is the summary screen. Each section has a set number of screens within it, indicated by the number on the right. When a section is complete you ll be returned to this screen to review and confirm your progress. You can leave a section before completing all the screens. The Platform will always save the information entered and the summary screen will show your progress. Click the check box to select Add notepad items. Click Continue. To begin, click Add notepad items. Notepad User Guide 4

5 Adding Notepad Items (continued) Select the type of Notepad item from the Category dropdown. TIP Unwrapped refers to assets held outside a tax efficient wrapper such as a pension or ISA. Examples of unwrapped holdings include collectives or exchange-traded assets. Complete the relevant and mandatory fields. Click Add. The item will then be listed in the table. Repeat the process for additional items. Click Next. Here you can select the assets that a wrapped Notepad item is invested in. Click the icon to add assets. Notepad User Guide 5

6 Adding Notepad Items (continued) The Asset selection screen allows you to select the assets that your client is invested in. This can be from either a previously created Shortlist of preferred assets or the Platform list of available assets held under the Universe tab. Enter at least one search criteria after selecting the asset Type. Click Search. Click the check box to select an asset. Click Add. Click OK. TIP More than one asset can be selected prior to clicking Add. TIP Evaluate portfolio allows you to report on your selected assets in the FE tools. TIP If your firm has set a preferred universe, which you do not wish to use, you will need to deselect the preferred universe to see all assets. Notepad User Guide 6

7 Adding Notepad Items (continued) Enter the date the assets were last valued under Units held. Enter the number of Units held for each asset, FE will update the investment value using this information. Click Compute estimated value. TIP If you need to add more assets than previously selected click the icon. This will reload the Asset selection screen. Click Next. The final screen in the Notepad section is the Confirmation screen. Click Previous to review and edit the information. By clicking Next you are confirming that all information entered previously is correct. This information will be locked and no longer available to edit within this set up process. If ready to move on, click the check box and then click Next. Notepad User Guide 7

8 Adding Notepad Items (continued) TIP Click Review to view completed information. The icon indicates the information is locked and no longer available to edit. In order to edit the details entered please see Maintaining Notepad Items. Click Continue. If there are any required documents, they are now available to download and print. They will also be stored in the client s document library for future reference. TIP Once the Status of all documents is Complete click to Consolidate all documents into one PDF. Click Next. Notepad User Guide 8

9 Adding Notepad Items (continued) A declaration will only appear if you are adding a Notepad item as part of another task for which a declaration is required, such as opening a new Zurich Portfolio. Please carefully read the declaration before submitting. If you are happy to proceed, click the check box and then click Submit. The process is now complete and the details can be reviewed by clicking Review. Click to return to the Firm dashboard. Notepad User Guide 9

10 Maintaining Notepad Items You can edit or delete existing Notepad items. From the Portfolio dashboard select Existing portfolio > Portfolio management > Notepad. The existing Notepad items are listed here. To edit the items, click the corresponding or delete by clicking the icon. icon Notepad User Guide 10

11 Maintaining Notepad Items (continued) Editing You can edit all the details except the Notepad category. Edit the details as necessary. Click Save. Once you have completed any required amendments click Next. Allocation This screen allows you to make changes to the assets held within Notepad items. Click the icon to delete any assets. Click the icon to add additional assets from the Asset selection screen. Notepad User Guide 11

12 Maintaining Notepad Items (continued) Asset selection screen The Asset selection screen allows you to select the assets that your client is invested in. This can be from either a previously created Shortlist of preferred assets or the Platform list of available assets held under the Universe tab. Enter at least one search criteria after selecting the asset Type. Click Search. Click the check box to select an asset. Click Add. Click Ok. TIP More than one asset can be selected prior to clicking Add. TIP Search options allow you to narrow the asset list. TIP Evaluate portfolio allows you to report on your selected assets in the FE tools. TIP If your firm has set a preferred universe, which you do not wish to use, you will need to deselect the preferred universe to see all assets. Notepad User Guide 12

13 Maintaining Notepad Items (continued) Enter the date the assets were last valued under Units held and enter the number of Units held for each asset. Click Compute estimated value. TIP If you need to add more assets than previously selected click the icon. This will reload the Asset selection screen. If you are ready to move on, click the check box and then click Submit. Amendments will be saved and you will be redirected to the Portfolio dashboard. Notepad User Guide 13

14 Producing Client Valuation Reports Once Notepad items have been added to the Portfolio they will appear on Client Valuation Reports. To create a valuation report select Existing Portfolio> Portfolio Management> Generate Portfolio Reports. You are instantly directed to the Generate new report pop-up box, which allows you to input dates between which to generate the report. From the Report Type dropdown menu, select Client Valuation. Click Generate. Notepad User Guide 14

15 Producing Client Valuation Reports (continued) The Client Valuation Report will then appear at the top of the documents listed in the Document Library. TIP If the client has access to view their Zurich Portfolio within the client portal they will receive an to advise them that new information has been uploaded and is available to view within their document library. Notepad User Guide 15

16 Producing Documents to Re-register or Transfer Notepad items to the Platform When the Notepad holds details of assets that your client wants to move onto the Platform, you can select any existing items to pre-populate the new business checklist along with the documents required to instruct the transfer. NB Only assets that are eligible to be held on the Platform can be transferred. From the Portfolio dashboard, select Existing Portfolio > Existing Portfolio New Business Checklist Click the check box to select Add transfer in details. Click Start. Notepad User Guide 16

17 Producing Documents to Re-register or Transfer Notepad items to the Platform (continued) Click Add transfer in. Select Product or tax wrapper from dropdown menu. If the transfer is from a Notepad item select Yes and choose the appropriate item from table below. Complete the relevant and mandatory fields. Click Add. TIP Once you click Add, a warning note will advise you that the Notepad item you have chosen to transfer will now be removed from Notepad. Notepad User Guide 17

18 Producing Documents to Re-register or Transfer Notepad items to the Platform (continued) The policy details, including the units held, are displayed. To add additional transfers in, click Add transfer in and repeat the process. If the units have changed, update them accordingly. Click Next. TIP The Platform will inform you if the chosen units are not available for re-registration. For further clarification on assets available for re-registration please speak to your Zurich consultant. Please read the notes on the confirmation screen carefully. They will vary depending on account type. TIP The confirmation screen will only include the Important notes when submitting pension transfers. If you are ready to move on, click the check box and then click Next. Notepad User Guide 18

19 Producing Documents to Re-register or Transfer Notepad items to the Platform (continued) Once transfer details have been successfully added you are returned to the summary screen. TIP Click Review to view the information completed or Edit to make changes. Click Continue. Follow the checklist through in the usual way to submit the business or see our Investment New Business or our Retirement Account New Business guides. Once the new business checklist has been completed, the required documents will be generated. This will include the appropriate Transfer Authority for the selected Notepad items. Notepad User Guide 19

20 Zurich Intermediary Platform A better business experience NP (07/13) RRD For use by professional financial advisers only. No other person should rely on or act on any information in this advertisement when making an investment decision. This advertisement has not been approved for use with clients. Zurich is a trading name of Sterling ISA Managers Limited. Sterling ISA Managers Limited, authorised and regulated by the Financial Conduct Authority. Registered in England and Wales under company number Registered Office: The Grange, Bishops Cleeve, Cheltenham, GL52 8XX. Zurich Life Assurance plc is authorised and regulated by the Central Bank of Ireland and subject to limited regulation by the Financial Conduct Authority for the conduct of insurance business in the UK. Registered office: Zurich House, Frascati Road, Blackrock, Co Dublin, Ireland. Registered in Ireland under company number