WEBFORMS KNOWLEDGE-BASEDeveloped by:Kimberly Manradge(VP Design Thinking & Customer Success)Usage Technologies Ltd.Email: [email protected]: 03/05/2018Last Updated: 03/09/2018
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. Table of Contents1. Introduction _______________________________________________________________ 1 1.1. Purpose ______________________________________________________________________ 12. Web-forms Home ___________________________________________________________ 1 2.1. Sign-up/Register_____________________________________________________________ 3 2.2. Sign-in _____________________________________________________________________ 4 2.2.1. Forgot Password______________________________________________________________________ 43. Dashboard ________________________________________________________________ 64. Forms ____________________________________________________________________ 8 4.1. Account Opening Form________________________________________________________ 9 4.1.1. FATCA Form ________________________________________________________________________ 11 4.1.2. PEP Questionnaire ___________________________________________________________________ 16 4.1.3. Joint Account Holder Form ____________________________________________________________ 18 4.1.4. Mailing Address _____________________________________________________________________ 23 4.2. Risk Profiling Questionnaire (RPQ) _____________________________________________ 24 4.2.1. RPQ - Private Wealth Management _____________________________________________________ 24 4.2.2. RPQ – Financial Planning Money Managers _______________________________________________ 28 4.2.3. RPQ – Financial Planning Plum _________________________________________________________ 30 4.3. Investment Policy Statement (IPS) _____________________________________________ 32 4.3.1. IPS – Financial Planning Money Managers ________________________________________________ 32 4.3.2. IPS – Private Wealth Management ______________________________________________________ 33 4.4. Discretionary Management Agreement (DMA) ___________________________________ 35 4.4.1. DMA – Financial Planning Plum _________________________________________________________ 35 4.4.2. DMA – Private Wealth Management ____________________________________________________ 40 4.5. Non-Solicitation Certificate ___________________________________________________ 44 4.6. Client Agreement ___________________________________________________________ 45 4.7. Customer Documents________________________________________________________ 51 4.7.1. Uploading a Document _______________________________________________________________ 53 4.7.2. Declaration of Source of Funds _____________________________________________________ 54 4.8. Form Tools ________________________________________________________________ 57 4.8.1. Open/Close Form Sections_________________________________________________________ 57 4.8.2. ToolTips________________________________________________________________________ 58 4.8.3. Close Embedded-forms ___________________________________________________________ 58
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.1. Introduction SSL Web-forms is a responsive, user-friendly web application that mimics SSL’s accountopening paper forms and is designed for use on all modern devices. It allows SSL's customersto open various investment accounts by capturing biographical and financial data that is sent forprocessing. Users may fill out the forms using checkboxes, radio buttons and text fields. Formsections are isolated, thus providing the user with seamless interaction in achieving the ultimategoal of completing the account opening process.1.1. Purpose The purpose of this document is to present users with a centralized repository forinformation about the SSL Web-forms, thus providing self service support. It will highlight thedifferent forms available and the data captured within each form.2. Web-forms Home Upon navigating to the web-forms homepage, the display below will be rendered. 1
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.The homepage will provide the options to:1. Sign-in – Registered users may click shown at the top right corner of the homepage.2. Sign-up – Users may sign up for different types of investment products by clickingunder each segment/product on the homepage.Users may sign-up and open accounts for the following segments/products:1. Financial Planning – Plum Financial Plan2. Financial Planning – Money Managers3. Brokerage4. Private Wealth ManagementIf a user is unsure of the segment/product of interest, they may begin the account openingprocess under the section labelled “UNSURE” and after their free consultation with a SSLrepresentative, they will determine the most suitable type of account for their needs. 2
Usage Technologies Limited is clicked from theRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 2.1. Sign-up/Register The registration page below will be displayed whenhomepage.All fields on this page are mandatory. After populating all fields the user may clickto submit the information and complete the registration process (If the user is already registered,the option to Sign-in is also presented here by clicking at the bottomright corner of the registration form). A notification as shown below will be displayed and anemail with a link to verify the email address provided will be sent. Open the email and clickOnce verification is complete the Login/Sign-in screen will be displayed. 3
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.2.2. Sign-inThe Sign-in/Login page below will be displayed when is clicked from thehomepage or is clicked from the registration page.The E-mail address and password fields on this page are mandatory. After populating thesefields the user may click to submit the information and complete the login process.If the user is not already registered, the option to Sign-up is also presented here by clickingat the bottom right corner of the login form.2.2.1. Forgot Password option on the login page to reset a password ifThe user may click theforgotten. The page below will be displayed: 4
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Enter the E-mail address then click . A notification as shown belowwill be displayed and an email with a link to reset the password will be sent to the email addressprovided.Open the email and click . The page below will be displayed.Populate all fields then click . Once the password reset action is successfulthe User’s dashboard will be displayed. 5
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.3. Dashboard The main Dashboard will be rendered upon successful login, as shown below:This view may also be invoked by clicking at the top left of any page within theweb-forms. Help and Sign-out buttons are located at the top right of the Dashboard and mayalso be found on any page within the web-forms. 6
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Help: This allows the user to access helpful information about the different forms available andthe data captured within each form.Sign-out: This allows the user to end their session and log out of the web-forms application.The Dashboard provides a quick summary of the total number of applications and the totalloan amount, displayed via the icons shown below.The Dashboard provides: 1. A link to create a new account for each segment/product by clicking 2. A summary of all applications and their respective status, with the option to edit each application details by clicking 7
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.4. Forms Each Segment/Product has its own set of forms to be completed, mimicking theaccount opening processes for each segment. Therefore, there are forms which arecommon across all segments and others which are unique to specific segments. Below is alist of segments and the forms associated with each. 1. Financial Planning Plum – Account Opening Form, Risk Profiling Questionnaire, Discretionary Management Agreement, Client Agreement and Customer Documents (Joint Holder, PEP and FATCA forms applicability is dependent on selections made on the Account Opening Form). 2. Financial Planning Money Managers - Account Opening Form, Risk Profiling Questionnaire, Investment Policy Statement, Client Agreement and Customer Documents (Joint Holder, PEP and FATCA forms applicability is dependent on selections made on the Account Opening Form). 8
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 3. Brokerage – Account Opening Form, Non-Solicitation, Client Agreement and Customer Documents (Joint Holder, PEP and FATCA forms applicability is dependent on selections made on the Account Opening Form). 4. Private Wealth Management – Account Opening Form, Risk Profiling Questionnaire, Investment Policy Statement, Discretionary Management Agreement, Client Agreement and Customer Documents (Joint Holder, PEP and FATCA forms applicability is dependent on selections made on the Account Opening Form). 4.1. Account Opening Form The Account Opening Form captures all pertinent client biographical, contact,employment and account data and communication preferences. This form is commonacross all segments. Required fields are marked with (*), and need to be populated beforethe form can be submitted. 9
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 10
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.4.1.1. FATCA Form The Foreign Account Tax Compliance Act (FATCA) requires a participating foreignfinancial institution to report all United States account holders that are specified United Statesnationals. To capture the required FATCA information (if applicable), you may invoke theFATCA form by selecting yes under the General Information section of the Account Openingform as shown below. The form below will be displayed: 11
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 12
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 13
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 14
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 15
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*), and need to be populated before the form can besubmitted. Once all required fields are populated click to proceed to the nextstep or to navigate to the previously viewed page.4.1.2. PEP Questionnaire A Politically Exposed Person (PEP) is defined as an account holder, signatory or theirimmediate family member who is a current or former senior official in the executive, legislativeor administrative arms of government, or military, or judiciary of their country of residence or aforeign government or a senior officer of a foreign political party or a senior executive of anenterprise owned by their country of residence or a foreign government. To capture the requiredPEP information (if applicable), you may invoke the PEP Questionnaire by selecting yes underthe General Information section of the Account Opening form as shown below. 16
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.The form below will be displayed: Required fields are marked with (*), and need to be populated before the form can besubmitted. If the answer to questions 1, 3 and 4 is yes, additional input fields will bedisplayed to capture this information as shown below. 17
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page4.1.3. Joint Account Holder Form To capture the required Joint Account Holder information (if applicable), you may selectyes under the Account Information section of the Account Opening form as shown below. 18
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. Once the Account Opening form is submitted the screen below will be displayed tocapture the Joint Account Information.Click to invoke the form below to capture Joint Account HolderInformation. 19
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 20
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 21
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can besubmitted. Once all required fields are populated click to proceed to the nextstep or to navigate to the previously viewed page. 22
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.4.1.4. Mailing AddressIf the mailing address differs from the home address, uncheck the ‘Same as above’ option toreveal additional input fields to capture the mailing address information.The fields to capture Employment data will be rendered based on the Employment statusselected. 23
Usage Technologies Limited to proceed to the next step orRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Once all required fields are populated click To navigate to the previously viewed page. 4.2. Risk Profiling Questionnaire (RPQ)This questionnaire is designed to help you consider your Risk Tolerance. It asks questions thatprovide some indication of the Risk Tolerance for a typical investor, displaying your personalinvestment characteristics. This platform hosts three types of RPQs which are shown below.4.2.1. RPQ - Private Wealth Management When opening a Private Wealth Account the questionnaire below will be displayed aftersubmitting the Account Opening form 24
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 25
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 26
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page. 27
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.4.2.2. RPQ – Financial Planning Money Managers When opening a Money Managers Account the questionnaire below will be displayedafter submitting the Account Opening form. 28
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page. 29
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.4.2.3. RPQ – Financial Planning Plum When opening a Plum Account the questionnaire below will be displayed after submittingthe Account Opening form. 30
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page. 31
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 4.3. Investment Policy Statement (IPS)The IPS provides a long-term plan and a basis for making disciplined investment decisions overtime. A written investment policy helps to clearly and concisely identify your investmentobjectives and constraints. Once this is done, investment guidelines that SSL feels areappropriate, are established, given the universe of strategies and realities of the market place.Once a policy is established, SSL would not expect to change it until there is a material changein your personal or financial circumstance. An investment policy normally does not change inresponse to market moves, and should be long-term to prevent arbitrary or impulsive revisions.This platform hosts two types of IPSs which are shown below.4.3.1. IPS – Financial Planning Money Managers When opening a Money Manager Account the form below will be displayed aftersubmitting the Risk Profiling Questionnaire. 32
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page.4.3.2. IPS – Private Wealth Management When opening a Money Manager Account the form below will be displayed aftersubmitting the Risk Profiling Questionnaire. 33
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step or 34
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. to navigate to the previously viewed page. 4.4. Discretionary Management Agreement (DMA)When a client chooses a manager to run their portfolio of holdings, an agreement is made aboutwhat type of service the manager will provide. This agreement sets out both the responsibilitiesand limits of the manager when managing the portfolio. The agreement sets out the boundarieswithin which the manager will manage the portfolio. This platform hosts two types of DMAswhich are shown below.4.4.1. DMA – Financial Planning Plum When opening a Financial Planning Plum Account the form below will be displayed aftersubmitting the Risk Profiling Questionnaire. 35
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 36
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 37
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 38
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page. 39
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.4.4.2. DMA – Private Wealth Management When opening a Private Wealth Management Account the form below will be displayedafter submitting the Investment Policy Statement. 40
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 41
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 42
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page. 43
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 4.5. Non-Solicitation CertificateWhen opening a Private Wealth Management Account the form below will be displayed aftersubmitting the Investment Policy Statement.Required fields are marked with (*) and need to be populated before the form can be submitted.Once all required fields are populated click to proceed to the next step orto navigate to the previously viewed page. 44
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 4.6. Client Agreement The Client Agreement Form is a contract made between SSL and its Clients. It explainsthe terms and conditions under which SSL will provide its service to them. Required fieldsare marked with (*), and need to be populated before the form can be submitted. 45
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 46
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 47
Usage Technologies LimitedRethinking what’s Possible_____________________support@usagetech.comwww.usagetech.com+1 (876) 434-0989Kingston, Jamaica W.I. 48
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