Data Entry Protocols - Ludique - Unique Software Applications and
Contents
1. Context Field Accounts ACCOUNTS CATEGORY Attributes ATTRIBUTE AREA Complaints COMPLAINT CATEGORY Contact CONTACT ORIGIN Contact MAINTENANCE TYPE Contact RESIDENTIAL STATUS Contact SEX Contact TAX STATUS Funds FUND Funds FUND CATEGORY Funds FUND MANAGEMENT COMPANY Funds FUND PROVIDER Funds FUND TYPE Funds UNIT TYPE Policy ADVERT TYPE Policy ADVICE CATEGORY Policy AGENCY Policy POLICY CHARGE TYPE Policy POLICY FUND FORMAT Policy POLICY ORIGIN Product PRODUCT LUDIQUEforIFAs 12 June 2012 Page 19 of 22 LUDIQUEforlFAs Product PRODUCT GROUP Product RMAR CLASS Various RISK LUDIQUEforIFAs 12 June 2012 Page 20 of 22 Compliance Checks LUDIQUEforlFAs CONTACTS Data Check Search Criteria Action Contract Issued but Not Contract Issued Any Date Chase up Adviser Client for signed copy Signed Contract Signed No Date Client Relationship has ended Client End Date Any Date Review Contact Category Fee Category Not included in Mailshot delete next review valuation date Deceased Clients Contact Category Deceased Change Fee Category Not included in Mailshot delete next review valuation date put an X in front of their Client Ref No Ensure that the deceased client is no longer shown as the partner of their widowed spouse and the spouses record as appropriate Check all policies to ensure that they have been dealt with as appropria2. A message will appear when the Data CleanUp is completed click OK What does Data CleanUp Do Reciprocate Partners Where a contact has a partner but the partner is not linked back to the contact these relationships are reciprocated Also where partners have the same surname they are marked as Married LUDIQUEforIFAs 12 June 2012 Page 16 of 22 LUDIQUEforlFAs Primary Non Primary Contacts The Primary box on the Contact record is checked for Male contacts with a partner unchecked for female contacts with a partner and check for contacts with no partner Gender All contacts with the Title Mr are marked as Male and contacts with the title Mrs Miss or Ms are marked as Female Contact Category Contacts with live policies are changed to Client clients with no policies are changed to Contact clients whose policies have all ended are changed to Inactive Client NB This will only affect contacts which are categorised as Contact Client or Inactive Passive It will not change clients which are e g Gold Premier Deceased Corporate Trust etc Adviser Paraplanner Introducer If the Previous Adviser Paraplanner is the same as the Adviser the Paraplanner is deleted if an adviser or paraplanner are given but no Introducer the Introducer is changed to the adviser or paraplanner Commission Checkbox The box is unchecked for any policies that have ended and checked for any policies that are being pr
3. Advert Promotion My IFA Registers and Staff Records Advertising Other Lists Automatic Method Simply type what you want in the field If the item is not in the list you will be asked if you want to add it NB Items added by this method can only be deleted by a LUDIQUE support technician The following fields are Automatic Context Field Accounts ACCOUNTS NAME TYPE Commission COMMISSION TYPE Communications COMMUNICATION TYPE Company COMPANY TYPE LUDIQUEforIFAs 12 June 2012 Page 18 of 22 LUDIQUEforlFAs Contact ADDRESS TYPE Contact CLIENT FEE CATEGORY Contact CLIENT FEE PAYER Contact EMPLOYMENT STATUS Contact MARITAL STATUS Policy PAYMENT METHOD Switches SWITCH COMPANY LookUp Lists Method These are accessed via Exit LUDIQUEforIFAs DATABASE ADMINISTRATION LookUp Lists You will be asked repeatedly if you are sure you want to make any changes as any change made here will affect every occurrence of the item throughout the entire database Context Field Accounts ACCOUNTS NAME Accounts ACCOUNTS SUBCATEGORY Attributes ATTRIBUTE Contact ATTITUDE TO RISK Contact CONTACT CATEGORY Policy POLICY STATUS Policy ACTION TYPE Product PRODUCT TYPE Not Allowed It is not possible to add items to certain drop down lists as they are determined either by the FSA or system requirements
4. Any Date Key Features No Date Or Suitability Letter No Date Send out Key Features or create Suitability Letter or enter dates they were done Policies Ended Policy Status Ended Check Included in Reports and Commission Payable are unchecked Review amend client category or Run Data CleanUp to auto update LUDIQUEforIFAs 12 June 2012 Page 21 of 22 Keyboard Shortcuts Useful Shortcuts for All Users Moving between Fields LUDIQUEforlFAs To move to the next field TAB To move to the previous field SHIFT TAB Entering Data in a Form To insert the current date CTRL SEMICOLON To insert the current time CTRL SHIFT COLON To insert the value from the same field in the previous record CTRL APOSTROPHE Check Uncheck a checkbox or switch between options SPACEBAR To insert a new line e g in a notes field CTRL ENTER Copying Moving and Deleting Text To copy the selection to the Clipboard CTRL C To cut the selection and copy it to the Clipboard CTRL X To paste the contents of the Clipboard at the insertion point CTRL V To delete the selection or the character to the left of the insertion point BACKSPACE To delete the selection or the character to the right of the insertion point DELETE Sorting and Filtering Data To sort data in the selected field or total in ascending order A Z 0 9 CTRL SHIFT A To sort d
5. Method 2 recen eee cete lc Dea eere texere e 19 Not Allowed C 19 Compliance GHOCKS c M 21 CONTACTO etd the RD duchy a A a E ENA SER ura cM cd 21 POLIGIES osos eti but ote but etd eO Eee VE nei ea ata sin ee chido i e nessa a Le det 21 Keyboard SNOMCUIS ei usi iub rta Toa a nao aire hi a do rain SUE DL FE nina a RUE 22 LUDIQUEforIFAs 12 June 2012 Page 3 of 22 LUDIQUEforlFAs Useful Shortcuts for All Users c 22 Moving between Fields ettet Ete KAE AAEN AE A finas 22 Entering Data m a FORM sensere a EE E E e uet 22 Copying Moving and Deleting Text enne nnne nennen 22 Sorting and Filtering Data rir eree rare nnnren nennen nnn internen 22 Z4veunbae E 22 Finding and Replacing Text or Data sssssessseseeeneneenene nennen nnne 22 Undoing Changes 3 emet rt tite d quote ERR ERE eels Tu EX era FIERE cede a CREE RER quinas da ETRAS 22 Using Combo Boxes and List Boxes aerea enne nnns ens 22 Print PRO WIGW cc slike 22 INTRODUCTION This document is not intended to be a comprehensive user manual as most the basics of using LUDIQUEforIFAs are covered during the installation and training process Rather it is an aide memoire containing guidelines to help ensure data integrity and promote best practice LUDIQUE Ltd will continue to send out
6. company accountant LUDIQUEforIFAs 12 June 2012 Page 13 of 22 LUDIQUEforlFAs Select Unknown and enter the rest of the account item details i e subcategory amount status etc Click the Back Back arrow s until you get back to the Main Menu Click Exit Database Click Database Administration Click LookUp Lists Click Accounts SubCategories N O Ol om AN c Go to the last blank row in the list and enter the name of the new SubCategory and select a Category If you are unsure which Category should be selected please contact your company accountant Commission Click on ACCOUNTS AND COMMISSIONS 2 Click on ACCOUNTS Search Amend and Add Items 3 In the Payer Pay box start typing the name of the company 4 Enter the date of the statement commission name of the company total for the statement and next sequential number other reference number for that company s statements if required 5 Write the number highlight the reference on the statement Click on the blue button next to the account item you have just entered You can enter commissions manually by entering the policy number in the first field next to the blue arrow and then entering the rest of the details If the policy number is not listed see Troubleshooting Commission Data Entry below 8 When you have entered all the commission details the COMMISSION TOTAL at the bottom of the form should match the AMOUNT at the top 9 Click the Black Back arrow t
7. pea ae eene oce e T de eee Rd gula anda 13 Adding further details toi e e te RR ED OR e be b e S 13 Troubleshooting Account Item Entry esseseessseeseeeeeeeeeenenn nnne 13 The Payer Payee is not listed sesesesssseesseseesee esee entente nennen nnns 13 LUDIQUEforIFAs 12 June 2012 Page 2 of 22 LUDIQUEforlFAs The Accounts SubCategory is not listed enne 13 COMMISSION e Lu LA ER e Aad Oe Wes he ede ieee ee d irat 14 Troubleshooting Commission Data Entry eesssssesseeeeeeeeenennenmeneeeenn nnn 14 When enter the policy number it selects the correct policy but other details are incorrect 14 When enter the policy number it doesn t select a policy 14 The Contact is Not Listed sipered e aaea aaa e entretenir snnt sentent 15 Thie Policy is Not Listed rrr oet ee dude ek im e eris 15 Speed Up Commission Data Enhy as rr pt rt ec a tree Ree etta kk pee steps 15 Automatically Adding Policies to commission arenas 15 DATABASE ADMINISTRATION eee ecce eese senten ennt tnnt tnnt tnnt 16 DATA BACKUP atuais eset iudei uu ipa deb dead de edd dL etos Os ee anand ads 16 FUND DATA BACKUP e 16 DATA GLEANUP E 16 How to CleanUp Your Data rar erecareaaaaraa nana area nsn nnn sn nnne ns 16 What does Data CleanUp DO iiiouccuuc uus oic caue uno rre tiic ccnsticotwanswaeduwatinebetastacsuasttaetwansradenien 16 Recip
8. the toolbar Include in Reports Uncheck this box if a policy has ended or if it should not be included in a client report e g where a separate policy record has been created for a substantial additional premium but the original policy but it should not be listed separately All policies are included in the one click reports whether or not this box is checked End Date Always include an end date if known or the end of a fixed period of interest in the case of a mortgage This will ensure that the policy is listed in Things to Do for the preceding 90 days Client s Reason Select the client s reason for wanting the policy from the list good TCF Adviser s Reason for the Recommendation Transfer Enter details in this field good TCF practice An entry is this field is automatically included in detailed reports and suitability letters about the policy It can also be added to mail merges and correspondence Agency Agency Description My IFA Agency Submitted by the IFA agency a date submitted should be entered Transferred to My Agency Originally submitted by a different IFA agency The date of transfer should be entered The date of submission should NOT Transfer Sought Originally submitted by a different IFA agency but permission to confirmation of transfer is progressing A date discussed with the client may be entered if required Authority To Enquire Only Agency for the po
9. a Contact b Policy if applicable c Type ie Document d Subject if the subject you require is not listed you can type directly into the field Create a hyperlink to the document scan file by clicking the Link button Type a note about the correspondence if it s not self explanatory from the information already entered Type details of any further action required Click the buttons at the bottom of the screen to indicate whether the communication is URGENT AWAITING RESPONSE and or COMPLETED Correspondence Create the Correspondence Ph Ooh e Check the client s address on their Contact record Check that the provider company address record is correct for their policy From the Main Menu go to LETTERS LABELS EXPORTS AND REPORTS There are templates for different types of correspondence which you can access by first choosing LETTERS CLIENT REVIEW or SUITABILITY LETTERS 5 Select the best template for your purpose and click GO 6 Select the client client s policy in the box at the top of the yellow print filter screen and click GO 7 Write the letter and click Merge to New Document on the Word Toolbar Pe COE are Save the File Any document which refers to a specific client should be kept in the client s folder It is not normally necessary to keep copies of communications which are simply a standard template with no amendments simply create a communication record to show what has been sent e g Po
10. ata in the selected field or total in descending order Z A 9 0 CTRL SHIFT Z To turn AutoFilter on or off CTRL T Zooming In To display the complete hyperlink address for a selected hyperlink F2 To open the Zoom box to conveniently text in small input areas SHIFT F2 Finding and Replacing Text or Data To open the Find tab in the Find and Replace dialog box CTRL F To open the Replace tab in the Find and Replace dialog box Datasheet view CTRL H and Form view only To find the next occurrence of the text specified in the Find and Replace dialog SHIFT F4 box when the dialog box is closed To send the form or report on the screen as an e mail message ALT F E Undoing Changes To undo typing CTRL Z or ALT BACKSPACE To undo changes in the current field or current record ESC To undo the current record ESC twice Using Combo Boxes and List Boxes To open a drop down box F4 or ALT DOWN ARROW To move to the next item in the drop down list for a field Arrow keys To close the drop down list for a field and apply any changes you made ENTER To close the drop down list for a field without applying your changes ESC To move down one line DOWN ARROW To move up one line UP ARROW To exit the combo box or list box TAB Print Preview To open the Print dialog box P or CTRL P To open the Page Setup dialog box S To move to a specific page by using the
11. ct Unknown in both fields If you proceed to add a new Provider or Company while in the middle of a commission statement the database will not be able to find its way back to the account item and might crash Click the Black Back Arrow it will take you back to the Check Policies List Click the Black Back Arrow it will take you back to the Account Item where you can now enter the policy number and continue entering commission Speed Up Commission Data Entry Use the duplicate button on the toolbar to duplicate a row Automatically Adding Policies to commission Click Auto Add Policies The policies will be listed in order of the contact s surname If your commission statement lists policies in order of the policy number put your cursor in the policy field on any row and A Z the list Change the amount commission type frequency as appropriate and due date if required Click Delete Zeros Any rows with a zero amount will be deleted and if no due date has been entered the date of the account item will be automatically entered in the due date field Any policies that have not received commission before will not be automatically added and should be selected in the normal way LUDIQUEforIFAs 12 June 2012 Page 15 of 22 LUDIQUEforlFAs DATABASE ADMINISTRATION DATA BACKUP It is a good idea to back up your data occasionally for advice on how frequently please contact support ludique co uk To back up your Data From the Main Me
12. d Commission a aa with missing dates is updated to the date of the account item and any Zero amounts are eleted LUDIQUEforIFAs 12 June 2012 Page 17 of 22 LUDIQUEforlFAs Communication Duration If a start time and end time has been entered the duration of a communication is calculated and automatically entered Policy Term If a start date and end date have been entered the term is calculated and automatically entered Fund Price Update The most recent fund price entered as an action is copied to fund record if it is more recent Replacement Policies The Replacement checkbox is updated on Policies with a product type which has been checked to indicate that itis a transfer replacement or which has the word transfer or replacement in it or which has the Replacement box checked See Providers Companies Products and Funds Product Types a list of product types ADDING ITEMS TO LOOKUP LISTS New items may be added to most drop down lists The method for adding new items depends on the type of record Major Records Contact Contacts amp Policies Add New Contact Policy Contacts amp Policies Add New Policy or Contacts amp Policies Search Policies Add New Policy or Add New Policy from a Contact record Policies tab Provider Providers Companies Products and Funds Providers List Add New Provider Company Providers Companies Products and Funds Companies List Add New Company or Provider record Add New Company
13. d i N i 1 N i Page 1 of 22 LUDIQUEforlFAs 12 June 2012 LUDIQUEforIFAS DATA ENTRY PROTOCOLS AND BEST PRACTICE LUDIQUEforIFAs SONO o ii ii ehh bk a ia aa LUDIQUEforlFAs INTRODUCTION Pret 4 LUDIQUE DATA CAPTURE SERVICE to retis enin cio cineri eo nxa do ron eria auri dco ern trino nine es 4 CONTACTS Address and Significant Dates eese 5 uoce c MON RT 5 Initial sar caeca ed coc Saale aid hor a arl cdd eces d Saale ade ed eteva ad cud sued tase se Ab ua ainda Cose aid 5 eiui dc aren 5 Avoiding Duplicates xc a Ra do cto etate ud teca da espe LL da d 5 COUPIOS sense teeter a rs a tac cat cal lp Dc a a eens 5 The Admin Client os ttr ti eet e teet et tote na tis ette vitx nee aa ns Gendt 5 RENO ecc CP PPP PNE 5 Primary Contacteren o ec et E a bn ecc dese E M etas 6 HOT go sacar esL JE IR LC cee neon Cece ECCE AR RR PAR PRP EMO e 6 salutatio M EHE 6 Pao 6 go cie tT EEEE AEAEE EAEE AAEE EAER SE ET 6 Email AGAraSSES herri ene A t TE d c EN deba AO dne er aa AEA 6 rio BL e aa eds ON a EET 6 Contact Cate QOry as dee e eq eri ne a n sq E eE dae A EAE 7 OMAGH FIG eM M ETE 7 CONTACTS Personal Details and Fee Agreement eeeeeeses 8 Agreement TypE sectis cocco hai Sans dcr o Ace ese eet Eee ef a da 8 gj Tr 8 Date Fee DUG siri iehendinishe chan sdhancane he case i
14. dministration Advisory Introducer Paraplanner or Procuration fees and types of commission This list is a useful reference for clarifying all of the various charges relating to a policy Commission Notes There are 3 fields for notes regarding commission providers charges and introducer fees If these are completed they are automatically included in detailed reports and suitability letters about the policy These notes can also be added to mail merges and correspondence If the Commission Payable box is unchecked a Commission Note should be entered to explain why commission is not payable e g Policy Ended or Transferred to Other IFA Agency LUDIQUEforIFAs 12 June 2012 Page 11 of 22 LUDIQUEforlFAs COMMUNICATIONS Ideally all paper communications with a contact or provider should be filed or scanned A record of the communication with a link to any stored file s regarding a client and or their policy should be entered in LUDIQUE as a matter of best practice It is also good practice to make a note of any telephone conversations emails meetings and discussions by creating a communication record All communications are listed with the relevant Client record and Policy record Communications that are unfinished or awaiting response are listed in Things to Do and on the Provider Company record Create a Communication Record 1 From the Main Menu click COMMUNICATIONS etc 2 Click Add New Communication 3 Select the
15. e depending on the SubCategory selected Therefore a minus sign should only be used for e g a commission statement which is a clawback or a refund from a supplier Adding further details Click the blue button to the left of an account item to enter further details A breakdown of items e g stationery or expenses may be included See Commission below A hyperlink to a scan of the commission statement may be added if required by clicking the link button Also See THINGS TO DO Accounts This shows lists of account items that have been invoiced and not marked as paid and amounts that are expected There is also a list of account items where no commission has been entered and a list of account items where the commission has been entered incorrectly Troubleshooting Account Item Entry The Payer Payee is not listed Select Unknown and enter the rest of the account item details i e subcategory amount status etc Click the Back Back arrow s until you get back to the Main Menu Click Exit Database Click Database Administration Click LookUp Lists Click Accounts Payers Payees NO RF OD Go to the last row in the list and enter the name of the unlisted Payer Payee select a Payer Payee Type and enter a 3 letter code 8 Then go back to Accounts and change the Unknown Payer Payee to the correct name The Accounts SubCategory is not listed For guidance on which Subcategory should be selected for an account item please contact your
16. in the past Contact Has no policies at all Former Client All policies have been transferred to another IFA Agency Charity Client A Registered Charity that has current policies Trust Client A legal Trust that has current policies Contact Origin Contact Origin Description Adviser Contact A personal contact of the adviser Appointed Representative An authorised introducer Associate Company A company associated with your IFA practice Client Referral Referred by another client Other Only used in special circumstances when no other origin is appropriate Other IFA Agency An IFA Financial Agent Professional Referral Referred by a solicitor accountant or other professional Promotion Responded to an advert Social Networking An indirect contact of an adviser or other staff member Staff Referral A personal contact of a non advising staff member Unknown Website Responded to the website internet search LUDIQUEforIFAs 12 June 2012 Page 7 of 22 LUDIQUEforlFAs CONTACTS Personal Details and Fee Agreement Agreement Type Fee Category Description N A No fees charged unless the contact s status changes Annual Contract An annual fee is charged for client services e g storage of Client s will 6 Month Contract A bi annual fee is charged for client services Monthly Cont
17. licy Documents Encashment Letter Valuation Transfer of Agency Authority to Enquire Folder names and filenames should have a consistent format The following formats are suggested as best practice Client Folder Format Surname Forenames e g Bloggs Joseph Michael Filename Format YYMMDD Surname Initials ProviderCode Product PolicyRef Subject e g 090424 Bloggs J SKA Pension SF0020 Suitability Report LUDIQUEforIFAs 12 June 2012 Page 12 of 22 LUDIQUEforlFAs ACCOUNTS amp COMMISSION Accounts Items are usually entered into the accounts when a bank statement arrives and are therefore marked as Paid However to improve financial management and management information items may be entered as Expected e g regular payments for utilities and wages or Invoiced e g where a client has been billed but payment is awaited Summary of All Accounts To see an overview of all accounts i e a current profit and loss go to My IFA My IFA Accounts Summary and General Info Totals and Balances for each Account To see a summary of each account go to Accounts amp Commission Totals and Balances for each Account Each account should show the A C Ref date and the balance of the account at the start of the accounting period Always check the Totals and Balances for each Account after entering bank statement details to ensure the bank balance is correct Accounts SubCategories All amounts are determined as positive or negativ
18. licy is not held but the IFA may make enquiries Authority Sought Permission to make enquiries about the policy has been asked of the client but not yet granted by the policy provider Other Agency IFA The policy is held by an other agency or IFA Client Fee Policy Special category for client fee policies LUDIQUEforIFAs 12 June 2012 Page 9 of 22 Policy Origin Fu LUDIQUEforlFAs Policy Origin Description Adviser Contact The adviser made the initial contact and invited the client s business Appointed Representative An authorised introducer Associate Company A company associated with the IFA practice Client Referral Referred by another client usually the Contact Origin should also be Client Referral Subsequent business should usually be due to Adviser Contact Promotion Repeat Customer or Website Other Only used in special circumstances when no other origin is appropriate Other IFA Agency An IFA Financial Agent Professional Referral Referred by a solicitor accountant or other professional Promotion Responded to an advert or promotion Repeat Customer Business requested initiated by existing client Staff Referral Referred by a non advising staff member usually the Contact Origin should also be Client Referral Subsequent business should usually be due to Adviser Contact Promotion Repeat Customer or Website Unknown Website Res
19. lutely necessary ie 1 Short Street not 1 Short Street To add more than one address e g Old Address Second Home Business etc click gt in the address form to enter Email Addresses Email addresses must be entered in the following format mailto steph ludique co uk NB In Staff Records mailto should be omitted so that it is not printed on letterheads Flag The Flag box may be checked to indicate clients that require special care or attention Suggested uses Special needs or disability Personal circumstances e g bereavement Complainants Expressed preference only to speak to a particular adviser member of staff Identifying contacts for ad hoc valuation LUDIQUEforIFAs 12 June 2012 Page 6 of 22 Contact Category LUDIQUEforlFAs Contact Category is used to segment contacts into useful groups for business planning and mail merges Contact Categories are also used for generating data for GABRIEL reports where clients must be segmented into individuals businesses charities and trusts Additional Contact Categories may be added to the list but care should be taken to ensure that category definitions do not overlap Category Definition Client Has current policies Corporate Client A Business that has current policies Deceased Client Contact is deceased also enter DoD if known and amend partner s record to Widow Widower Inactive Client Has no current policies but has had policies
20. n click on the Client Ref criteria arrow and slide down to the bottom of the list LUDIQUEforIFAs 12 June 2012 Page 5 of 22 LUDIQUEforlFAs Primary Contact The following should have the Primary Contact box checked Contacts with no Partner in the database The main contact of a couple usually the husband but could be the person most contacted of the two and the other party should be unchecked Mailshot The mailshot box should be checked for all contacts that should be included in a mailshot The following contacts should be unchecked Deceased Clients Former Clients Anyone that has asked that no mailshots should be sent Anyone for whom there is no known address Salutation This is how the person will be addressed in the Dear of correspondence and therefore depends on the relationship between the client and the adviser and or the formality of the correspondence Therefore it could be e g Mr Smith or e g John Address At least ONE address MUST be entered with the checkbox ticked to indicate it is the client s preferred address for EVERY contact If this is not the case the client will be stored but their name will not appear in certain lists and more importantly the Contact field in their policies will be blank If the client s address is not known enter Unknown in the first Address field but ensure that the Preferred Address box is still checked No punctuation should be used in addresses unless abso
21. nbendiniehe RRR 8 POLICIES Basic Policy INTO ere rrr ren xin mrt recae 9 Poley Ref M EDT 9 Include Reports mE 9 End D ta E O E N E ee 9 Client s REASON 9 Adviser s Reason for the Recommendation Transfer eee 9 PO CIC EI T a 9 PUG y CIC opo TEE 10 O a o mio ag s NETT OT ME 10 POLICY Charges amp Commission eeeeeeeeeeeeeeeeeeee eene nennen nnne 11 Gommnissi n Payable idest tti oie aan eer rt spa quete beber pape tutt deb see abade E 11 COMMISSION EDk m e dO E aS 11 Types of Commission and Charges Expected arena 11 Commission Nolas itu rco emend ana coa tada rada qund Pad EE XX FaDa Ceu A Pude REAL FAR E cora Daan vines 11 COMMUNICAT IONS cm H 12 Create a Communication Record oot P eR ee m LR e nb P RS oe A Te ni geo ace 12 Correspondente sos trac anais aE possa no TEA da D De ESA Ca 12 Create the Correspondence ir ee ret anaraa nana aaaaaaaaarra near nnns entrent 12 SECUN 12 ACCOUNTS amp COMMISSION 11 e eLeeeeeeeeeeen ee einen nnn nnn n nnn n nana assa sas n anra anna 13 AGOOLURIS secti sc Gus E E OE cte a a Sur 13 Summary of All ACCOUNTS i ic cr tnter ro ert e rete tpa Pepe AEAN Eia 13 Totals and Balances for each Account ssssssssssesseeene nennen 13 Accounts SubCategories issii
22. nu click Exit Database Click Database Administration Click Data BackUp A security warning will pop up which is asking if it is OK to access your data file in this way click Open Another security warning will pop up asking if it is OK to create the new backup file click Open Finally a message will pop up saying that your data has been backed up to the Backups folder and tagged with the date and time it was backed up click OK FUND DATA BACKUP If you have created new funds since LUDIQUE was installed It is a good idea to back up your fund data occasionally for advice on how frequently please contact support Dludique co uk To back up your Fund Data From the Main Menu click Exit Database Click Database Administration Click Fund Data BackUp A security warning will pop up which is asking if it is OK to access your data file in this way click Open Another security warning will pop up asking if it is OK to create the new backup file click Open Finally a message will pop up saying that your data has been backed up to the Backups folder and tagged with the date and time it was backed up click OK DATA CLEANUP How to CleanUp Your Data From the Main Menu click Exit Database Then click Database Administration Before Cleaning up your data it s a good idea to back it up first See Data BackUp above You should also understand what the data cleanup will do See What does Data CleanUp Do below Click Data CleanUp and then OK to proceed
23. o go back to the Accounts list 10 Mark stamp the statement to indicate it has been entered and keep it until it is listed on a bank statement 11 Once a commission invoice has been paid to your bank account enter the bank statement number and change the status to Paid 12 File or dispose of the statement as appropriate Troubleshooting Commission Data Entry When enter the policy number it selects the correct policy but other details are incorrect Enter the commission details and tab to the next row so that you have completed entering the commission for that record before moving to another form Click the Blue Forwards arrow next to the policy it will open the policy record at the Charges amp Commission tab If you need to amend any details that are not shown on the Commission tab click the Basic Policy Info tab Amend details as required and click the Black Back arrow it will take you back to the Account Item where you can continue to enter commission When enter the policy number it doesn t select a policy Click Esc on your keyboard twice to remove the unfinished entry Click Check Policy List Type the surname in the Check Contact List box at the top of the form and or use the drop down arrow to check the list of Contacts LUDIQUEforIFAs 12 June 2012 Page 14 of 22 LUDIQUEforlFAs If the Contact is not listed click Add New Contact and create a new Contact record See The Contact is Not Listed below If the C
24. ocessed Policy Status Policies are being processed and have a policy status such as Recommended or Submitted are changed to In Force if they have received commission See Database Administration Policy Status for details Policy Print and Policy Fund Print Policy Include in Print and Fund Include in Print boxes for policies which have ended Policy Replacement Checkbox The Replacement check box on the policy record is checked for all policies which have a product type which includes the word Transfer Fund Format Fund format is changed to N A for all policies ended and those which have products that have no value e g Insurance Mortgages Fund format is changed to Single Fund for current policies which have 1 current fund this does not affect policies marked as Actively Managed Fund format is changed to Multiple Funds for current policies which have more than 1 current fund this does not affect policies marked as Actively Managed or Partially Managed Fund Unit Type Fund Unit Type is changed to Variable for policy funds which have not ended and a regular premium is being paid Fund Unit Type is changed to Zero for the policy funds of all policies and funds that have ended Policy Risk Udated to N A for products which carry no risk i e products which are not an investment or have no value The Policy Risk for Actively Managed policies is updated to Variable and Partially Managed Policies to Mixe
25. ontact is listed look down the list of policies to see if the policy is there but the number is either missing or incorrect If the policy it listed but the details are incorrect amend it as necessary If the policy is not listed click Add New Policy to create a new Policy record See The Policy is Not Listed below Once you have amended the existing policy or created the new contact and or new policy click the Black Back Arrow It will take you back to the Account Item where you can now enter the policy number and continue entering commission re enter the policy number in the next row and continue The Contact is Not Listed Click the Add New Contact button Enter any information about the contact that is shown on the commission statement See VL UDIQUE Help Data Entry Protocols doc for more detailed information on adding new contacts Put a dot after Address not known in the address field if the address is not known Click the Black Back Arrow it will take you back to the Check Policies List You also need to add the new policy before you can go back to enter the commission The Policy is Not Listed Click the Add New Policy button Enter the New Policy Details including any information that may be gleaned from the commission statement See V UDIQUE Help Data Entry Protocols doc for more detailed information on adding new policies NB If when entering a new policy you find that the Provider or Company are not listed sele
26. page number box F5 the page number then ENTER For keyboard shortcuts in which you press two or more keys together the keys to press are separated by a plus sign like this SHIFT F10 For shortcuts in which you press keys one after the other the keys to press are separated by a comma like this ALT F X Fora complete list of Access shortcuts see http www ddmcomputing com access keys acsk01 htm Please note however that shorcuts found at this website which relate to the database window query design datasheets pivot table and some navigation methods are not available in LUDIQUE LUDIQUEforlFAs 12 June 2012 Page 22 of 22
27. ponded to the website internet search nd Format Fund Format Description N A Policies which do not have funds e g general insurance Investments and Pensions which have Ended Single Fund The policy is wholly invested in 1 fund Multiple Funds The policy is invested in 2 or more funds Actively Managed The policy is regularly reviewed and the investment switched between different funds Partially Managed Part of the policy remains in a particular fund or funds and the rest is actively managed LUDIQUEforIFAs 12 June 2012 Page 10 of 22 LUDIQUEforlFAs POLICY Charges amp Commission Commission Payable If commission is payable for a policy the Commission Payable box should be checked Where there are several policies with the same policy number e g additional premiums or wrapped policies only one usually the first one submitted should have the box checked so that when commission is entered it is all allocated to the same policy Commission EDI Usually this is the same as the policy number and therefore it is updated when the policy number is first entered However some providers use a different number to refer to the policy for the purposes of commission It is this number not the policy number that is used when entering commission Types of Commission and Charges Expected Use this area to list all of the different types of commission and fees that are expected for this policy including A
28. ract A monthly fee is charged for client services Fee Waived Free of charge By Policy The client has been will be charged a fee for specific policy advice TBC To be confirmed Fee Enter the amount of any fee due NB A single fee for a specific policy should be entered in the Policy record on the Commission amp Charges tab Date Fee Due Enter the date the fee by which the fee should be paid An Expected Account Item should also be entered so that income from fees may be projected LUDIQUEforIFAs 12 June 2012 Page 8 of 22 LUDIQUEforlFAs POLICIES Basic Policy Info NB A client without a preferred address may not be selected as a policyholder New policies should be entered as soon as they are recommended to the client Then the details may be updated as they become available Recommended policies are listed in Things to Do this makes it easy to track ongoing work and policies not taken up NTU Policy Ref Your reference number for each policy should be entered here The recommended format for policy refs is PYY000 where YY is the year and 000 is a sequentially as policies are submitted i e PO9005 would be the 5 policy submitted during 2009 To find out the last Ref No used go to Contacts amp Policies Search Policies then either a click on the Policies Ref criteria arrow and slide down to the bottom of the list or b click Open Policy List put your cursor in the Ref field and click the Sort Descending button on
29. rocate PaLtlriersst eot v rrt t rette p a Ere ache Y trier e ieee Eee Reha uo oed 16 Primary Non Primary Contacts sssssssssssssssseseeee enne nnn en nennen nnns tenens 17 Gender x rec E E ene cat a rie ege de pn ade a ANS dec RR E 17 Gontact Category ee HELL EUER debe Hen ua ban ea i Ed d uade eee arx eu DD 17 Adviser Paraplanner Introducer eese ener ener nennen 17 Commission Checkbox ar a a a a a tenetis sn nrts entes A 17 OEC rs 17 Policy Print and Policy Fund Print essssseesseseeeneeenenen nennen 17 Policy Replacement Checkbox sssssssssessssseenene enne entren retten sinistre ns 17 FUNG FON aba e 17 Fund Unit Type cti tno ceti ta ex t etti rex t fe 17 mela c 17 ere nine LS 17 Communication Duration ssessssssessesseeeenen enne ener snnm en retentis sn nana 18 Policy Terms doses dip teu nad AH 18 Fund Price Update ss iode n mede te ree n e defe ded E ie HR PE 18 Replaceimient PolicIes 2 inedite fi teet i ease ER ne ende MEE nura nt 18 ADDING ITEMS TO LOOKUP LISTS cn naar re cx o eei nus sia tek aa Rc dw ue cxi 18 Major Recordsi rra C P 18 Contacts LP ME 18 Policy xcti eL ION Ud M DAE I Me e LM tds 18 PIOVIGOLE x eee n n tete nnd nien E 18 Gompany ena eene uita 18 Advert Promiotlon 2 i CE Mali iis We A ie Me 18 Other MES e T E 18 Automate Mahad itt Eoi ettet et ues 18 LookUp Lists
30. te No Fact Find Contact Category Client Fact Find No Date Chase up Adviser Client No Money Laundering Contact Category Client Money Laundering No Date Chase up Adviser Client No Date of Birth Current Contact Date of Birth No Date Check file or chase up Adviser Client Fees Paid Due Fee Paid Fee Due e g Last Month Generate Invoices Letters etc Client Review Contact Letter Client Fee Invoice Update to new date POLICIES Data Check Search Criteria Action _ Admin Policies Contact Admin Enter Select correct Contact if applicable Policies being processed Policy Status Type Processing Expedite processing or mark as NTU No Policy Number Policy Number is null Check file or call provider Transfer of Agency Agency Transfer of Agency Sought Call client or provider to expedite Authority to Enquire Agency Authority Sought Call client or provider to expedite Transferred Policy date Agency Transferred to My Agency Date Transferred No Date Check file or call provider Recommendations not followed up Date Discussed Any Date Date Submitted No Date Expedite processing or mark as NTU Research Required Date Discussed This Week Date Researched No Date or This Month Complete research and enter date Key Features Suitability Letter not sent Date Submitted
31. updates and additions in response to changes to the software FSA requirements and client enquiries Each LUDIQUEforIFAs client is encouraged to review develop and amend this document as part of their ongoing Review and Analysis procedures For help and support see http www ludique co uk support html LUDIQUE DATA CAPTURE SERVICE Ludique offers a comprehensive data capture service for IFAs whose records are on paper or in disparate electronic sources Contact and Policy details can be entered from your Hand written New Business Register Excel Spreadsheets of Policies Clients or Commission Downloaded information from Providers which may also include Fund information and details of units and prices Commission Statements For more information see hitp www ludique co uk prices html DataCaptureService LUDIQUEforIFAs 12 June 2012 Page 4 of 22 LUDIQUEforlFAs CONTACTS Address and Significant Dates Title Enter the contact s title with no punctuation i e Mr not Mr Initials Enter the contacts initials with no punctuation i e J M not J M Forenames Enter all of the contacts forenames in full if known If not re enter the contacts initials in the forenames field to avoid creating duplicates Avoiding Duplicates Always search for a client before adding them to avoid creating duplicates Duplicate Surname Forenames are not allowed by the system If a Surname Forenames must be duplicated because there are two people
32. with the same name you must find a way to discreetly differentiate them as far as the system is concerned Therefore you must workaround the no duplicates rule as follows Example 1 There are 2 people called John Smith and neither have middle names put a dot after the surname of one of them Example 2 There are 2 people called J Smith put a dot after the J of one of them Ensure all users know that there is a duplicate name and which is which Couples Normally a separate record should be created for each member of a couple and the appropriate partner should be selected NB The contact record including an address must be created before it can be selected In certain rare situations a singly contact record may be created for a couple e g if they only have one joint policy In that case enter Mr amp Mrs in the Title field and the wife partner s name in the Other Name s field e g Partner Mrs Jane Smith The Admin Client A client record called Admin exists for any policies or other information that can not be attributed to a specific person The Admin record must not be overwritten or deleted Ref No Ideally all clients should be given a Ref No Both parties of a couple should be given the same Ref No All members of a family or group scheme may be given the same Ref No to enable searching and printing reports for the entire group To find out the last Ref No used Go to Contacts amp Policies Search Contacts the
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