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CCD Client User Guide

1. Bulk download Support contact Web address Accessibility Registration details Products supported Service availability Portfolio reference number format Valuation types supported Fund codes returned integration cofunds co uk available 09 00 17 00 Monday to Friday www cofunds co uk Cofunds digital certificate Please visit http www cofunds co uk AboutUs RegisterlIntermediary aspx if you are not currently registered to use Cofunds To set up Individual client valuations please send an email to integration cofunds co uk All funds that are registered on the Cofunds platform are supported via Contract Enquiry 24 hours This is an 8 digit number contact Integration Cofunds co uk for details of how to locate the number Current MEXID integration cofunds co uk available 09 00 17 00 Monday to Friday www cofunds co uk Username and password Please visit http www cofunds co uk AboutUs RegisterlIntermediary aspx if you are not currently registered to use Cofunds To set up the Bulk Valuations feed email integration cofunds co uk All products that are registered on the Cofunds platform are supported via the bulk valuations feed 24 hours This is an 8 digit number contact Integration Cofunds co uk for details of how to locate the number Current MEXID This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidenti
2. Select the appropriate contract number and then click Match This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 49 CAPITA If the contract does not exist on CCD then a new Contract will need to be set up Create New Contract AW PLTOOOOO0 002 Investment Investment Band Unit Linked Ea New Business Ik Create Click into the fields and complete as appropriate and once done click Create Once done the new contract will now show CAPITA Data updates FINANCIAL SOFTWARE fou are creating a new contract within CCD with the details below If this is incorrect use the undo new record button below Otherwise ensure the details of any assets are marked as new Client Details CE Contract details New CCD Contract Created Clift GH Aw P1O00000 002 Investment 17 Poachers Lane Investment Funds Investment Bond EN1i1i 7SN Unit Linked EJ New Business b Undo new record O Show automatically matched assets Contract Enquiry Assets Matched CCD Assets New Existing CCD Assets Archive D gt A Speedy Hire Ple 3 ow Range Resources Ltd amp There is a button here to undo new record if required Now this has been
3. must be set up with their correct contract numbers and must match exactly the details recorded by Transact The contract number should be entered in the Portfolio reference field in CCD Clients gt Holdings gt Administration gt Contract No tab Always ensure that the clients National Insurance NI number is entered in the correct format and does not include any additional spaces or characters i e no full stops or hyphens This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 24 CAPITA 3 19 Zurich including Allied Dunbar Eagle Star and Sterling Assurance Support contact Web address Registration details Accessibility Products supported Service availability Contract number format Valuation types supported Fund codes returned 0500 546 546 ask for eSupport zigesupport uk zurich com www zurich co uk zurichintermediary Go to www zurich co uk zurichintermediary Select one of the Login register links select the link Register Unipass you will be prompted to select your UNIPASS certificate which will take you to the registration page that has already been completed for you
4. Double click on the Ce application icon within the task bar tray If the Ce icon is not shown in your task bar tray navigate to Start gt All Programs gt Quay Software Solutions gt Client Care Desktop gt Instant Valuations 1 Select the Provider Product Type and Product Sub Type from the dynamic menus that are displayed menu lists will change depending on the previous option selected 2 Complete the Contract Reference Select the options required a Show valuation in browser b Export valuation to back office c Both 4 Click on Request Valuation text which appears in blue Once the valuation has been requested depending on the options selected the user will be notified if the valuation was successful or not by the text displayed in the provider s response box within the Contract Enquiry Utility screen If the user has chosen to view the valuation information within a browser window a valuation report will be produced This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 26 CAPITA Valuation Current contract status Contract holder Contract provider Product type Product sub type Prod
5. Fund level when you next run Contract Enquiry the funds will be displayed again in the un matched area 4 4 Bulk Downloads CCD also has the ability to perform bulk data downloads Unlike the Contract Enquiry requests the bulk data downloads allow the user to update both client and policy information Currently bulk downloads can be performed by using the Cofunds or Transact functionality within CCD This service is requested via the Updates section within CCD This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 36 CAPITA 4 5 Importing Policy Information via a Spreadsheet Template Not all providers offer contract enquiry but do supply you with a spreadsheet or CSV file with all of your clients policy and fund information It is now possible to import this information into CCD using a template spreadsheet The spreadsheet can be found in the Updates gt Valuations gt Bulk gt Manual Import area of CCD CAPITA Data updates FINANCIAL SOFTWARE Send or request information to or from various destinations or data sources Updates Updates gt Valuations gt Bulk Valuations Individual Funds luati
6. Show Un matched only Process All Entries and Exit Mary Demo Black 1 1 1970 coz osp Match Level aah erties mais Contract Enquiry Mapping Financial Express A Unit Price Number of Units Client Policy Fund FE fund r234 Search text Select FE fund Unit Price andia Deposit 94 3000 100 0000 yY y v Vv oo0oOo Skandia Deposit 94 300 andia 16 6060 100 0000 Vv yY yY amp ooo skandia norway norge a Eu ee 29 5200 100 0000 Vv y y vy 0 oc e ntee E eed 129 520 UK Equity 100 0000 y yY yY vV O equit UK Equity Pn 869 900 een Er 397 6000 100 0000 y v y vy oO Skandia Aberdeen Emerging 397 600 Arte 152 3000 100 0000 Vv Vv Vv e Arte H 100 0000 yY y yY vy Oo Arte High 216 600 DM Balances 136 8000 100 0000 yY yY yY vV DM Balanced 136 800 Fidelit 5 100 0000 y v y vy G Fidelit 2 Fidelit e 100 0000 yY Yy Y v e lity e a Fidelity European 2078 100 Map each policy in full and then click the Pre Process Records link If any of the funds you have mapped appear against other policies the mapping will be automatically updated on those records If you do not use the Pre process Records link then you may duplicate your efforts if the same fund appears against a record lower down the list If mapping is required at the client or policy level this will feed through to the subsequent line items This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole
7. Star bond plan numbers Zurich bonds are in the range 00000001 to 59999999 or 70000000 to 89999999 ensure leading zeroes are input Sterling ISA PEP Investments funds plan numbers The plan number is constructed from the first letter of the plan holder surname name followed by followed by a 6 digit number For example A500013 becomes A 500013 Current and surrender for bonds Normally provider specific but some funds will include SEDOL codes This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 25 CAPITA 4 Using Contract Enquiry CCD s functionality allows for various methods of requesting and receiving Contract Enquiry messages e Individual Contract Enquiry requests using the Contract Enquiry Utility screen e Importing individual Contract Enquiry information into the back office system e Individual Contract Enquiry requests from within CCD e Scheduled Contract Enquiry requests e Batch Contract Enquiry requests e Bulk Downloads e Manual import spreadsheet for providers not supported via the automated route 4 1 Requesting Individual Valuations Using Contract Enquiry Application
8. or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 35 CAPITA CAPITA FINANCIAL SOFTWARE Data updates Contract Enquiry Mapping Full Match 8 out of 11 W Financial Express Policy available to Pre Process Mary Demo Black 1 1 1970 coz osp nv men n ndi 4 Search key Investment Bond Skandia SIB009350943 1 Fund Name 2 Citicode 3 Sedol 4 MexID Match Level 4 Unit Price Number of Units Client Policy Fund FE fund 12 34 Search text Select FE fund Unit Price Gapusn 24 3000 100 0000 v vV Yy v ooo Skandia Deposit 94 300 candia Norway Norge 16 6060 100 0000 Yy yY yY O0O skandia norway norge candia Euro Guaranteed 129 5200 100 0000 yY yY Y v ooo skandia euro guaranteed Skandia Euro Guaranteed 129 520 NB Best practice is to work from the top of the list down Complete each policy and Pre Process If you pre process a message further down the list the screen will reposition at the top and not where you left it If you click Process All Entries and Exit only policies that have been matched to a minimum of Fund level matched at client policy and fund will be updated Ideally all items would be matched to FE Fund level so that the next time you run a Contract Enquiry update the funds will match automatically If you do not match to FE
9. the fund to match it to the relevant incoming fund If this is a new fund check the New Fund box If you are unsure whether the existing fund should be matched to the incoming fund click on the Detail button to view additional information about the inbound fund This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 29 CAPITA rn Data updates FINANCIAL Return to the list view Show Un matched only Process All Entries and Exit Inbound Detail 37 04 901419 02 09 Policy Funds Recordioutof2 lt gt batchref SM117 04 201412 02 02 responder_id Insurer Skandia Life CCDProviderCode contract_number S 9350942 case_reference_number Dummy9 A S 1 Voyager Diversified name gt uf fund_sedol_code fund_mexid_code 5 fund_epic_code Inbound Fund SK OM Voyager Diversified No of Units 287 8672 P c enc B unit_holding_type Accumulation New Fund X unit_type Accumulation unit_currency GBP unit_price unit_price date 2014 04 17T12 01 33 number_of_units number_of_units_date 2014 04 177T12 01 33 value_of_units value_of_units_currenc Investment_Key NI_No If you map the inbound fund to the
10. the list below and the Authentication Method panel will change to reflect the options offered by the Provider Prowiders Authentication Method Fidelity Unset Fidelity FundsNetwork Unzet Legal amp General Unset Prudential Unset Scottish Mutual Unset scottish Widows Unset SELESTIA Unset Skandia Investment Solutions Unset Skandia Life Logon Details Standard ife Agqorance fC nomnan cet Skandia Life Authentication Methods f Logon Details Skandia Lif Authentication Details User Name E strademol Password 2 3 3 Proxy Server From this window each of the individual Providers that are live with Capita Financial Software will appear in the list and when selected will display the credentials required in order to sign up for the appropriate provider Typically this will mean that the user will either have to complete the username and password or select the Digital Certificate that is required some providers allow users to choose See section 3 Provider registration for full details If a user is accessing the internet via a proxy server then the information about the server must be entered under the proxy server area within the settings menu 2 3 4 Digital Certificate In order to check the digital certificates loaded on each machine users can access the certificate browser via the tools menu within the Contract Enquiry Utility screen The browser displays details of all of the certificates cu
11. with the details on your UNIPASS certificate Once you submit this registration form you will get immediate access to the website Once registered with the website you will need to go to the my profile tab and select the upgrade button select your role and then enter your agency code Once this has been completed you will need to close the website window and log back in and you will have immediate access to our Online services Unipass certificate Individual Personal Pension Free Standing AVC Appropriate Personal Pension Scheme Group Personal Pension Executive Pension Occupational Scheme Defined Contribution Income Drawdown Investment Bond 24 hours To access Zurich pensions you must insert a plan number in the following format 00000001 to 59999999 or 70000000 to 89999999 or Pnnnnn AAA AAA ensure leading zeroes are input Where n anumber number or letter Replace the last three characters of the plan number as follows P12345 678 two letters becomes P12345 678 001 P30000 100 po1 becomes P30000 100 P01 P12345 100 PB becomes P12345 100 AAA Where AAA is the member id and POn or FOn or EOn where n 1 9 Current and transfer for pensions A a Provider specific Unit Linked Bond ISA Cash ISA ISA Stocks amp Shares ISA Maxi ISA Mini ISA ISA Transfer PEP Unit Trust Sterling bonds plan numbers Sterling bond numbers are in the range 60000000 to 69999999 Zurich ex Eagle
12. 1 5 20 CAPITA 3 15 Scottish Mutual Phoenix Life Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned 0845 6000 403 http www abbeyforintermediaries com Username and password http www abbeyforintermediaries com index html You will need to register via the IFA extranet as above by completing and submitting the online registration form You will then receive your user ID and password in the post When you log in for the first time you will be asked to change the password sent in the post for one of your choice Investment bonds Guaranteed bonds 08 30 17 30 Monday to Friday With Profit Investment Bond amp Select With Profit Bond Consists of 7 digits beginning with 88XXXXX or 10 digits starting with OOOOXXXXXX Usually followed by 2 3 or 4 e g 00002XXXXX Flexible Investment Bond Consists of 10 digits beginning with OOOOXXXXXxX Usually followed by 3 4 or 5 e g 00005XXXXX Personal Investment Bond Consists of 7 digits beginning with 1XXXXXX Triple Bonus Bond Consists of 7 digits beginning with 884XXXX The Income Bond or Choices Bond Consists of 10 digits beginning with 00005XXXXX or of 8 digits beginning S2XXXXX High Income Bond Rising Income Bond Consists of 7 digits beginning 82XXXXX Current and surrender SEDOL MEXID This document is the property of
13. 17 02 This will display the Quay Contract Enquiry Utility screen Contract Enquiry Utility CAPITA Contract enquiry FINANCIAL SOFTWARE Provider Product Type Investment Bond Product Sub Type Unit Linked Bond Contract Reference Output Results to Browser If CECD Providers Response Ik Request Valuation 2 3 1 Intermediary Details Click on the settings menu and select intermediary details This loads the screen shown below Intermediary Details Intermediary Details Company Name Evaluation System FSA Firm Ref No 12345 Postcode Fo 14 FAY Please complete the details requested and enter the firm s FSA Firm Reference Number FRN If you have more than one registered company on a single CCD database it is worth discussing this with the provider you wish to work with as it may not be possible to use Contract Enquiry in this instance This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 6 CAPITA 2 3 2 Provider Details Click on the settings menu and select provider settings providers can be registered se Provider Settings Select a Provider from
14. 309 3999 Agency Team 0845 9000 819 www aviva co uk adviser This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 43 CAPITA Appendix B Fidelity FundsNetwork 9 Fidelity ITER NATIONAL Introduction This guide is intended to assist advisers using Capita Financial Software Contract Enquiry to set up and use Fidelity FundsNetwork s valuation service The guide does go into some detail to help users avoid common problems and once set up you should find these services are extremely quick and easy to operate What does this new link do Capita Financial Software can automatically update or add all the relevant values of the products that your clients hold Essentially you are able to get the latest valuations for all your FundsNetwork clients whenever you want to Getting started Before you can start using this link please run through the following checklist Check you have your FundsNetwork login details The FundsNetwork valuation service requires users to have a FundsNetwork user ID and PIN If you have never been issued with a PIN or have forgotten these details please contact FundsNetwork on 0800 995
15. 511 Go through the set up process for Contract Enquiry This one off set up needs to be done before the service can be used This is detailed within this guide If you need any help with or have any issues with the service please contact Capita Financial Software directly on 0800 028 0033 or by email at financialsoftwaresupport capita co uk For any questions on any of the services provided by FundsNetwork please contact 0800 99 55 11 or by email on integration fundsnetwork co uk How it works Fidelity FundsNetwork contract number format A client s holdings on FundsNetwork are grouped into accounts A client can have more than one account on FundsNetwork Accounts are identified by a unique 10 character code which is constructed of four alphabetical characters followed by six digits i e ABCD123456 The first three characters are usually representative of the first three characters of a client s surname or first three characters of a corporate trustee company name The fourth character generally gives an indication of the product group the account number relates to e ABCX123456 Where the fourth character is an X this represents an ISA account Maxi Mini or Transferred ISA e ABCP123456 Where the fourth character is a P this represents a PEP account This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in p
16. 87 8672 yY yY oooo Mary Black ia Deposit 9440 121 3207 yY yY A ooodoo Mary Black Matched items will have a green tick un matched items will have a yellow warning triangle The screen will default to the Show Un matched view To view all messages that have matched click onto the Show all or Show matched only tabs All of the providers who send a Citicode Sedol or MexID in the fund message will be mapped automatically to an FE fund This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 28 CAPITA If the provider only supplies their own provider code or an ISIN code in the fund message the fund will need to be mapped to an FE fund We have updated our matching criteria to match funds at a more granular level and introduced additional screens to allow you to view all of the detail on the fund making the mapping process much easier and more robust If you have mapped the provider code to an FE fund in your previous system these will need to be remapped The FE Fund mapping only needs to be completed once for each fund and this mapping will be applied in all likewise funds thereafter once yo
17. 88 Individual Stakeholder NGP Pensions Group Personal Pensions since 1988 Group Stakeholder NGP Pensions Monday to Friday Saturday to Sunday Opens between 03 00 05 00 Opens between 02 00 04 00 Closes between 21 00 23 00 Closes between 17 00 20 00 Bonds are valued on their contract number Pensions are valued on their scheme number and member number Fxxx xxxx Commissions use the same formats so these should be entered in CCD as the contract number Current and transfer for Current and surrender for bonds pensions Provider specific This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 17 CAPITA 3 11 Legal amp General Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned Notes 0870 050 0274 available 08 00 21 00 Monday to Friday http www legalandgeneral com Unipass certificate or username and password To access CE for Legal amp General valuations you must first register for IFA Centre at www legalandgeneral com ifacentre which au
18. 9999 External Bank Account Bank account 0 00 b Details Click onto the Details button at the end of the line of the first item to be dealt with and you will be taken into the details of the exception CAPITA Data updates FINANCIAL SOFTWARE No exact match for the Product has been found within CCD please match the Product to a contract within CCD or create a new one below Client Details a CE Contract Details Match To Existing CCD Contract Create New Contract Clift G H Contract number 17 Poachers Lane s Product basis EN11 7SN 94 78 Product category Product type L New Business Ib Match b Create O Show automatically matched assets Contract Enquiry Assets Matched CCD Assets New Existing CCD Assets Archive Speedy Hire Ple Click here to match o JA Range Resources Ltd Click here to match o 4 Return to the summary screen PVP iio further action required A Further action required Previously archived asset At the top of the page there is this box with detailing possible courses of action CE Contract Details Match To Existing CCD Contract Create New Contract AwP1000000 002 Investment Funds OO New Business Ik Create The options are e Try to match to an existing contract e Create a new contract To try to match to an existing contract click into the drop down list Contract number Match To Existing CCD Contract AWPLTOOOOOO Ik Match
19. CAPITA SYNAPTIC CLIENT CARE Client Care Desktop Contract Enquiry User Guide 4 3 2 including import function CAPITA Contents L DTO OI a bitte a ens tenes eaten ee ne tak eis orcas ae sae ce vnc nave ta snes A E 3 1 1 Conga ENGU CTR CCD oct osc E EN T 3 Dig MUMIA OC a a A A E 5 21 OTIC MOn Cl Oise cscs E gente nearer aes taceg cosneeve eos 5 2 2 Jonass DERA CC CU E tesco ects parce acce ea nue nasceeaerenesanustaceeinouetansceunuec cause esasoessurtancsueusdesm 5 2 3 CON TPAC Enguiry setup Within CCD rerea S E 6 3 POVOT ni Oa EEE E E A eee ene ees 8 3 1 Provider CVC W T IDIO araa A parc roe a S NAET 9 3 2 A RO a E E T en ee ne aaa es 10 3 3 E PENAOI EAEE EEN EE N E E EEEE E AEE EN EAEE AEE EAE AE E T 11 3 4 AXA Wealth Previously Winterthur essssessssessssssenesssrerressreersesrrrrressrreressrrtrsessrrrressrrtresssetrressrreresserereessereresss 12 3 5 Caa LI o E T E E E E 13 o Ga Mede a E E 14 3 7 CORNOS e E senate set easeeea anes eee 15 39 ICSE 7 Fidelity FUNG S Nt OU acters a dic sa secnntene cee saceaeonetons eoasusiednunvinwa N ESN 16 3 9 SS Life AXA Heritage iecere EE EE 16 S FERPA EEE A E E E 17 SAL LEEI a CACI e E E T 18 3 12 Old Mutual Wealth Platform Skandia Investment SolutionS ssseesssessesesesessrrresssrrrrsesrrrrressrreressrrerresrereresse 19 213 Old Mutual Weakth Skandid eee nee nae nr nr ue eee ee 20 SA POEN O eee a a ee ea ee eee oe 20 215 Scottish Mutual Phoenix LINE seiasecadcsacasisand Seec
20. Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 21 CAPITA 3 16 Scottish Widows Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned 0845 716 6747 http www scottishwidows co uk extranet home html Unipass certificate preferred or CID amp PIN To register your UNIPASS with Scottish Widows go to www scottishwidows co uk extranet Click on Register Click on Register as Financial Adviser Read and accept the Terms and Conditions Click on Register with Unipass The system will pull through your details from your UNIPASS certificate You will need to complete the online registration form including your Scottish Widows Agency number s You can enter up to 5 agency numbers at this stage but more can be added later Click on Submit You will be presented with a Customer ID CID on screen Take a note of this Whilst you will not need this for day to day access it is good to have in case of an emergency You will be asked to select and enter a Personal Identification Number P
21. Cmd Start amp SWEHo platform4 oldmutualwealth co uk Products All Old Mutual Wealth platforms and migrated MultiFUND product types supported Service availability 24 hours Contract number All Old Mutual Wealth platform policies adhere to the following formats format OMW platform Individual Savings Account Up to 9 digit numeric value starting with 1 Format 100000000 OMW platform Collective Investment Account Up to 9 digit numeric value starting with 1 Format 100000000 OMIW platform Collective Retirement Account Up to 9 digit numeric value starting with 4 Format 400000000 OMIW platform Onshore Collective Investment Bond Up to 9 digit numeric value starting with 3 Format 300000000 OMW platform Offshore Collective Investment Bond Up to 9 digit numeric value starting with 2 Format 200000000 This product should be set up in CCD as a standard Investment Bond rather than an Offshore bond All migrated Old Mutual Wealth MultiFUND policies adhere to the following formats Legacy Old Mutual Wealth MultilSA Mini policies 3 character head type IMN Up to 9 digit numeric value Format IMN000000000 Legacy Old Mutual Wealth MultilSA Maxi policies 3 character head type IMX Up to 9 digit numeric value Format IMX000000000 Legacy Old Mutual Wealth MultiPEP policies 3 character head type MUP Up to 9 digit numeric value Format MUP0O00000000 Legacy Old Mutual Wealth collective investments MultiFUND poli
22. E_ImportTemplate xlsx KJ Gal m CE_ImportTemplate Microsoft Excel Poy CC a Home Insert Page Layout Formulas Data Review View Add Ins Team a Q o e 2s Cut 2r H B Fey E AutoSum a Cu Calibri In Qg a x i wrap Text General E HA ys cmm K al east a Fa Ba Copy 3 z Fin Z Paste B I U Sy A EEE TE A Merge amp Centery W 9 0 00 Conditional Format Cell Insert Delete Format Sort amp Find amp v F Format Painter al Ea a Fr j 3 ese Formatting 7 as Table Styles 7 v v v lt 2 Clear 7 Filter Select Clipboard Font Alignment Number Styles Cells Editing N1 v fe Number of Units v A B c D E G 1 Client Name Provider CCD Provider Code contract_number Citicode Fund Name Sedol Code MexID Code 2 3 4 5 6 From Updates gt Valuations gt Bulk gt Manual import click onto the Import valuation spreadsheet link CAPITA Data updates FINANCIAL SOFTWARE Send or request information to or from various destinations or data sources Updates Updates gt Valuations gt Bulk Valuations Individual Import valuation data file inisstt valuation epeadsheet 1 Ik Get Manual Valuation Template Navigate to the saved spreadsheet and open The spreadsheet will be imported and you will be taken to the processing screens To process the message refer to sections 4 2 1 individual contracts and 4 3 bulk contracts of this guide T
23. FSL www capitafinancialsoftware co uk September 2014 v1 5 23 CAPITA 3 18 Transact Bulk download Support contact Web address Accessibility Registration details Products supported Contract number format Valuation types supported Fund codes returned Notes 0207 608 4900 www transact online co uk Transact Portfolio Number and PIN Advisers who use Transact will already have their access details to log in to the website There are two types of log in Adviser Group and Adviser e The Adviser Firm Login retrieves all client data under a firm e The Adviser Login retrieves all client data under a single Adviser Fund Transact provide details on all investment products Each client has one or more Wrappers within their Portfolio These Wrappers need to be entered into CCD first Each Wrapper has a unique Wrapper Reference The Wrapper References are 10 characters long and prefixed with the letters IH e g H12345678 The External Scheme Name for each client s Wrapper also needs to be entered into CCD The External Scheme Name is Transacts reference for the specified Wrapper Type The above references can be downloaded from Transact s Website by generating a Portfolio Summary when logged in at Adviser Adviser Group level The Portfolio Summary needs to be downloaded as an XLS or CSV file to view these references Current ISIN Transact holdings must be entered into CCD first All transact holdings
24. Fi sac iis wahin aka ie Import valuation spreadsheet Ik Get Manual Valuation Template lt I Click on the link Get Manual Valuation Template to download the file to your desktop If you have already downloaded the template and retained a copy on your desktop the following message will appear You have a file called CE_ImportTemplate on your desktop already Continuing will overwrite this file Navigate to your desktop and open the template spreadsheet This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 37 CAPITA When you open the spreadsheet you will see that some column headings are in red These highlight the minimum information required for the manual Contract Enquiry import to work Although the Contract Enquiry will work with the minimum information complete it is better to fill in as much information as possible as this will reduce the amount of matching or additional input that you have to do Fill in the details and save the completed spreadsheet to your computer Please do not rename the template as you will not be able to import the data into CCD The template should be named C
25. IN Once you have done this it takes approx 15 minutes to complete the online validation All pensions with a commencement date of September 1994 onwards including retirement account personal pensions stakeholder group personal pensions and group stakeholder pensions Flexible options bonds flexible income bonds capital investment bonds and unitised with profits bonds with a commencement date post September 1994 08 00 20 00 Monday to Friday 09 00 12 30 Saturday All policy numbers are numerical only All requests will work whether you enter the policy segments e g 1 12 or not OEICs ISAs PEPs 5 digits all numerical Pensions All personal SHP GPP members GSHP members pensions 7 digits all numerical Retirement account 8 digits all numerical Scottish Widows only use policy numbers for Contract Enquiry services This would be the same number quoted on ALL communications commission statements etc We DO NOT support policies starting with Z via our Contract Enquiry services Policies starting with P are the group scheme reference numbers amp should NOT be sued for Contract Enquiry services we only operate with individual policy numbers Current and transfer for Current and surrender for bonds pensions SEDOL Provider specific This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document
26. SL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 32 CAPITA 4 3 Scheduled and Batch Valuations 1 Select a client record and select the Servicing section 2 Select the date for the next valuation then select the Valuations tab and the Select tab and choose the individual holdings that require valuation s This can be done by either completing the valuation date on the Details section of the holding or by selecting the holding underneath the Valuations tab and Select tab option within the Servicing section 3 Each individual holding can also have the required valuation date set as required 4 Once the appropriate holdings have been chosen and the valuation dates set select the Updates section from the main menu and choose Valuations CAPITA Data updates FINANCIAL SOFTWARE 1 Request electronic valuation details for the cases shown Updates Upcates gt Valuations Valuations Individual Due today By Provider By Adviser Service Manager Scheduling Contract holder Provider and Contract type Street A Skandia Stocks and Shares 54 Black M O Skandia Investment Bond Black P D Skandia Investment Bond No valuation date set It Process the valuatio
27. accurate as without the correct name of the client the correct policy number or an accurate date of birth and National Insurance number in some cases the message will fail An added bonus is also the availability of the service as most providers will offer the service outside of normal business hours seven days a week allowing the user to service their clients at times convenient to them Servicing hours vary dependant on the provider The information requested and the message received has been defined by the Origo Standards committee to insure both quality and consistency of data Contract Enquiry within CCD Although automated valuations have been available from a number of product providers for some time CCD offers users three essential differences Scheduled valuations Batch processing of valuations and the ability to import valuations via a spreadsheet where automatic contract enquiry is not available Scheduled valuations can be set up so that valuations are obtained in advance of regular client reviews or to meet regular valuation commitments The scheduling facility is easy to use and accommodates differing periods between valuations In short the system does the job of determining when valuations are required and each day presents a batch of cases that need to be updated And that s where batch processing comes in Batch processing avoids the need for users to process valuations electronically on an individual basis CCD processe
28. al This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 15 CAPITA 3 8 Fidelity Fidelity FundsNetwork 3 9 Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned 0800 41 41 81 www fidelity co uk Username and Password To use this service you will need a Fidelity User ID and PIN which can be obtained by calling Fidelity on the number above ISAs OEICs Unit trust Offshore currency funds 08 30 18 00 Monday to Friday See Appendix B Current SEDOL Providers own Friends Life AXA Heritage Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned 0845 3001946 available 08 30 17 30 Monday to Friday www friendslife co uk ifa Unipass certificate To set the service live you will need a username and password for the Friends Life site Go to http www friendslife co uk ifa and log on to the extranet You will need to accept the terms and conditions and register for the Contract Enquiry service in this screen From the home page of the Adv
29. are Support Team on 0800 028 0033 or send an email to financialsoftwaresupport capita co uk If you have any specific issues regarding the policy information please contact the provider direct using the details specified under the provider registration section What are supported valuation types The providers will provide a current valuation but can also support transfer and surrender values for some products What are the fund codes Each fund has a code supplied by the provider in the message which will normally be one or more of the following e SEDOL e MEXID e Citicode Provider specific If the provider specific code is supplied the fund will not be updated by the Financial Express fund feed The providers do not provide the fund type or fund sector in the Contract Enquiry message therefore these funds will not display a fund type or fund sector if using Contract Enquiry If you require this data or wish to retain data entered manually against a fund please select the funds using the Financial Express fund feed and update the units manually using data provided by Contract Enquiry This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware c
30. art must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 44 CAPITA e ABCA123456 or ABCQ123456 Where the fourth character is either an A or Q this represents a non ISA account consisting of Fidelity funds offshore funds or investment supermarket funds e For really old accounts the structure is slightly different and consists of three letter and 7 digits e g ABC1123456 The first of the seven digits is usually 1 A client can only have one account number for all their PEP and ISA plans However the account number may be associated with multiple PEP and ISA plans which are held on a plan year basis on FundsNetwork i e an account AAAB123456 may have an ISA plan for 2001 2002 and 2003 These will be held separately For PEP and ISA plans the account will have the plan year appended to the account number For example a client who holds an account AAAB123456 with a 1995 PEP plan would need to include the following information Account number AAAB123456 1995 When downloading holdings from FundsNetwork client records will be displayed in this format Help Section don t have a FundsNetwork User Id or PIN set up The FundsNetwork valuation service requires you to have a FundsNetwork user ID and PIN If you have never been issued with a user ID or have forgott
31. cies 3 character head type MUF Up to 9 digit numeric value Format MUFO00000000 Valuation types Current unit holdings from the previous day s close of business position supported Fund codes MEXID SEDOL returned This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 19 CAPITA 3 13 Old Mutual Wealth Skandia Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned 3 14 Prudential Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned Notes 02380 334411 Support lines are open during business hours Ecommerce helpdesk omwealth com www oldmutualwealth co uk Username and Extranet registration reference number httos secure oldmutualwealth co uk beacon frameset uk wrap htm Individual pensions Investment bonds 24 hours Old Mutual Wealth pensions Old Mutual Wealth bonds 3 alphanumeric head type protection and legacy pro
32. completed use the eee dl Return to the summary screen i located bottom left hand of the screen The will have changed to a CE Contracts CCD Contracts The contracts below have been returned by the provider and are contained within the valued wrap policy Provider Contract Num CE Contract Type CCD Contract Type Valuation Standard Life AWP1000000 Wrap Wrap 796 572 13 b Details Ww Standard Life 34728 Wrap Cash Account Cash account 0 00 b Details v Standard Life AWP1000000 002 Investment Funds New Investment Bond Unit 194 78 b Details Standard Life Iwio00000091 Investment Bond Cannot Locate contract 577 756 38 b Details Standard Life AWP1039642 006 ISA Cannot Locate contract 169 38 b Details a Standard Life D1045694000 Self Invested Personal Cannot Locate contract 218 451 59 b Details Standard Life SIPP Trustee Bank Account Cannot Locate contract 46 999 11 Ib Details Ww Standard Life 99999999 External Bank Account Bank account 0 00 b Details Carry and complete the other exceptions in the list Once all have been completed all items will have a tick at the beginning of each line now use the This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permi
33. ducts AAO 3 character head type AAA Up to 9 digit numeric value Format AAA000000000 Example CAB000456789 Up to 9 digit numeric value Format AA0000000000 Example PP6003456789 Current SEDOL Provider specific 0808 234 5200 www pruadviser co uk Unipass certificate There is no registration required Access will be restricted to policies for the FCA number and postcode specified on the certificate unless otherwise requested If access is required at a company level i e FCA number then they should contact the above number to request this type of access Individual pensions Group pensions Investment bonds Guaranteed bonds 08 00 22 00 Monday to Friday 08 00 16 00 Saturday 7 or 8 characters with format as follows For bonds nnnnnnc nnnccnnn or cnnncnnn For pensions nnnccnnn cnnncnnn or nnnnnnnn Current and transfer for Current and surrender for bonds pensions Provider specific Prudential is unable to supply valuations for M amp G contracts at contract level instead each segment within a contract needs to be valued separately This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v
34. either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 22 CAPITA 3 17 Standard Life Support contact 0845 6060036 Open 09 00 17 00 Monday to Friday Web address httos www adviserzone com adviser public adviserzone home Accessibility Unipass certificate Registration details https online standardlife com intermediaryfirmaccess html firm regis tration index htm Products supported Individual pensions Distribution Bond Group pensions Capital Investment Bond Investment bonds Guaranteed bonds With Profits Bond WRAP Service availability 07 00 24 00 Monday to Friday 07 00 23 00 Saturday to Sunday Contract number Typical format can be as below format Bond X12345678a Bond XU123456789 Personal Pension K123456789000 Group Personal Pension K123456789000 Wrap WP1234567 See Appendix C for further details Valuation types Current and transfer for Current and surrender for bonds supported pensions Fund codes returned Provider specific This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission C
35. en your PIN please contact 0800 99 55 11 for further help When I try to run the holdings update service do not get a report This error appears because the holdings update service has not been enabled at FundsNetwork for you To enable the service please call FundsNetwork on 0800 99 55 11 or email integration fundsnetwork co uk quoting your unique adviser number to enable your bulk holding service What products can get valuations on All FundsNetwork products are available via these holdings update services with the exception of holdings in the Fidelity Investment Trust Savings plan How up to date are the valuations I receive The holdings updates are taken from our live systems and provide valuations as at the close of business on the previous business day When I try to use the individual holdings update why do I not get all of my client details You are only able to receive valuations for accounts linked to your adviser number If you have any further questions please contact FundsNetwork on 0800 99 55 11 have a number of Fidelity agencies how can get valuations on all my accounts Ensure you use your head adviser login and you will be able to see all your client s accounts This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that fo
36. gistration users will only have access to contracts written through that agency code Once you have registered all issues regarding access should initially be referred to Aviva s Life Online Support Team 0845 309 3999 Getting the most out of automated valuations When requesting a valuation it is important that the correct policy number format is used This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 41 CAPITA General guidelines e No spaces there should be no spaces in the policy number that you request against e f amp no policy requested against should contain these characters e No pension scheme numbers the service uses only the members policy number for retrieval of data Only 2 types of policy format allowed e nmnnnnnnxx a 7 numeric characters with a 2 alpha character suffix e xxnnnnnnnn a 2 alpha character prefix with 8 numeric characters Common errors you might receive We closely monitor the usage of the service and pick up on any error trends Below we aim to briefly explain some of the error messages you may have received and offer you an answer as to why E
37. his document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 38 CAPITA 5 FAQs Failed message There may be a number of reasons why your request may result in an unsuccessful enquiry message being received If the system cannot match the information requested with the information received then it will not update any information A few points to check before contacting the Support Team e Service available check the service hours for the provider to ensure the service is available e Provider supported check the provider code selected in CCD is supported see provider overview table e Supported product check that the provider supports electronic valuations for the policy type e Policy number formats check that the policy number and client name are correct within CCD spaces within contract reference numbers can lead to failed messages e Policy status check the policy has not been transferred surrendered or matured e Agency check that you hold the servicing rights for the policy Who do we contact for support For any general issues with Contract Enquiry or CCD please contact the Capita Financial Softw
38. icy regarding agency numbers if you are e A network member and submit business under the network s agency rather than your own eYou have more than one agency number for a single product provider eYou have more than one registered company set up as locations on a single CCD database This is important otherwise you could go through the whole process of setting up the service only to find that you are unable to use it due to your agency structure Consolidation of agencies is sometimes the only way to ensure that you are able to use Contract Enquiry with some providers and this is outside of Capita Financial Software s control Please discuss this with your provider representative if you are in any way unclear 2 2 Unipass Digital Certificates In order to gain access to secure information on the internet many providers will issue a username and password normally obtained from their IFA extranet site However an increasing number of firms require the use of a digital certificate before they will give access to security sensitive information Digital certificates provide added security for both the user and the providers sending the secure information Once a user has their individual certificate registered on their own computer it can be used multiple times and saves the need for re registration with a number of firms In order to obtain a digital certificate users must complete a registration form which details both their own individual
39. ific code will be returned Products not available Executive pension plans Company pension plans with the prefix U Group AVCs with the prefix U Trouble shooting There may be occasions where you will receive an error message instead of a policy valuation Legal amp General provide a Contract Enquiry Information Guide on their IFA Centre which contains an area on trouble shooting providing you with information on why that might have happened and how best to rectify it This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 18 CAPITA 3 12 Old Mutual Wealth Platform Skandia Investment Solutions Support contact 02380 334411 Support lines are open during business hours Ecommerce helpdesk omwealth com Web address www oldmutualwealth co uk Accessibility Username and password Registration The username for registered Old Mutual Wealth platform users will be the OMW details platform Username The password will be the Contract Enquiry Password which is available from the System Admin section of the Old Mutual Wealth platform https platform4 oldmutualwealth co uk eifa_enu start swe SWE
40. il you select a message the data will not be processed DS rap Enquiry Wrap Enquiry for mr test 22 o9 09 12 53 46 Do not automatically create new client records E General updates Openwork Quit This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 47 CAPITA Click onto the message and the following will appear CAPITA FINANCIAL SOFTWARE Wrap valuations The details of the selected Wrap is below Match the sub contracts and directly held assets for the Wrap and click Process Contract Enquiry to update in CCD Client Details Message Details Clift GH Source Standard Life 17 Poachers Lane EN11 7SN CE Contracts CCD Contracts The contracts below have been returned by the provider and are contained within the valued wrap policy Provider Contract Num CE Contract Type CCD Contract Type Valuation v Standard Life AWP1000000 Wrap Wrap 796 572 13 b Details Ww Standard Life 34728 Wrap Cash Account Cash account 0 00 I gt Details Standard Life AWP1000000 002 Investment Funds Cannot Locate contract 194 78 b Details Standard Life Iwioo0000091 Investment Bond Cannot Locate contract 577 756 38 b Detail
41. ilability 08 00 22 00 Monday to Saturday 10 00 16 00 Sunday Contract number All policy numbers are 6 digits format Valuation types Current supported Fund codes returned Provider specific This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 12 CAPITA 3 5 Canada Life Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned Notes 0845 365 3456 available 09 00 17 00 Monday to Friday http www canadalife co uk ifa Unipass certificate To register your UNIPASS with Canada Life amp Canada Life International go to http www canadalife co uk ifa Click on Log in or Register seen in red font in the top right hand corner of the home page Under First Time User click Register with Unipass Read and accept the Terms and Conditions The system will pull through your details from your UNIPASS certificate You will need to complete the online registration form and select Submit Once you have done this a member of our Portal Supp
42. information and the firm for which they work Registration details can be obtained online from https www unipass co uk Pages Home aspx or by calling 0871 22 12345 Once a firm is registered with Unipass individuals can make requests for digital certificates to be issued Unipass will confirm the identity of the individual and confirm that permission may be granted by contacting a member of the firm Once the confirmation has been completed the individual certificate will be issued Unipass has been created specifically for financial advisers and is a free service controlled by Origo Secure Internet Services OSIS The digital certificate gives each user a unique online identity The certificates are unique to each machine therefore if more than one user needs to access Contract Enquiry then they will each need to register their machine with a digital certificate if they are using those companies that require a digital certificate This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 5 CAPITA 2 3 Contract Enquiry setup within CCD From your task bar tray double click on the Ce shortcut icon m Ge PCE gt
43. isers Extranet there is a link to Contract Enquiry This area will provide additional information including further detail on the plans supported and contract number format Individual pensions Investment bonds Guaranteed bonds 08 00 20 00 Monday to Friday 08 00 16 00 Saturday Refer to Friends Life Adviser Extranet see registration details above Current and transfer for Current and surrender for bonds pensions Provider specific This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 16 CAPITA 3 10 Friends Provident Support contact Web address Accessibility Registration details Products supported Other useful information Service availability Contract number format Valuation types supported Fund codes returned 0845 6000 670 www friendslife co uk ifa Username and password http www friendslife co uk ifa Individual pensions Guaranteed bonds Investment bonds The Friend Provident Bond service covers ALL of Friends Provident bond products and can be accessed using the policy number The Friend Provident Pension service covers Individual Personal Pensions since 19
44. ish Mutual Bonds Individual 3 2 SEDOL SCMI SCMP Phoenix Life MEXID SCMU Scottish Widows Pensions Individual 4 x SEDOL SCOW SCWI Bonds Provider specific Standard Life Pensions Bonds Individual 3 3 2 Provider specific STAL STLB Wraps 4 2 Wraps STLH STLI Transact All fund Bulk 3 3 SEDOL TRAN information Zurich includes Allied Pensions Individual 3 3 3 Provider specific ZUIN ZURI Dunbar Eagle Star and Bonds 3 3 3 SEDOL SISM STAS Sterling Assurance EAST ALDU This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 9 CAPITA 3 2 Aegon Support contact 08456 100001 Web address www aegonse co uk Accessibility Unipass certificate Registration details Auto registration process that registers the whole firm the first time anybody from that firm uses the service Products supported Individual pensions Group pensions Investment bonds Service availability 24 hours Contract number format Aegon contract numbers consist of 7 digits The Aegon system will cope with various prefixes ignoring leading zeroes spaces and the character group UP In these instances the contract wil
45. l be valued and the contract number returned will match that supplied Valuation types supported Current for pensions Current and surrender for bonds Fund codes returned Provider specific This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 10 CAPITA 3 3 Aviva Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned Notes 0845 309 3999 available 08 30 17 30 Monday to Friday ecsd aviva co uk www aviva co uk adviser Online Account Number OAN and Password PIN To begin receiving automated valuations you must have registered for an Online Account Number OAN on the Aviva for Advisers site If you are using a UNIPASS digital certificate this must also be registered with Aviva Registering for a Aviva Online Account Number OAN e Goto www aviva co uk adviser e Click Register Click Register as an Intermediary e Complete user details requested on screen If you require help with the form or your Aviva agency code please contact our Age
46. l only have access to contracts written through that agency code Once you have registered all issues regarding access should initially be referred to Aviva Life Online Support Team 0845 309 3999 Registering for a Aviva Online Account Number OAN e Goto www aviva co uk adviser e Click Register e Click Register as an Intermediary e Complete user details requested on screen If you require help with the form or your Aviva agency code please contact our Agency Team on 0845 9000 819 Click on Next and you will be invited to review the details you have input e f you are satisfied with what you see select the tick box to agree and then click submit Should you wish to change anything you can do this by clicking on make changes next to the section you wish to amend e Your registration is now complete and you will see a thank you note displayed Aviva will contact you shortly by post usually within two working days to confirm that your account has been activated Linking your UNIPASS with Aviva e Goto www aviva co uk adviser e Onthe home page click Log in on the top right e Click Unipass Login e Select your Unipass if you have more than one then click OK e Enter in your OAN amp PIN e Click Next e You are now linked up Each OAN is initially only linked to one agency code If this is a master agency code full access will be granted If any sub agency code is used at re
47. message will appear in the right hand corner of the screen Quay message alert e New Message Contract Enquiry Contracting Enquiry pop up message advising the batch enquiries have finished 9 With the batch requests a breakdown of the contract enquiries will be listed and details given for any unsuccessful requests which can be printed off and dealt with as appropriate The received message containing all the completed enquiries will be in the Received tab of the Updates area This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 34 CAPITA CAPITA Data updates FINANCIAL SOFTWARE Updates gt Data updates received Data updates received and waiting processing for user SM1 cess from the list below y will not be pro Contract Enquiry 17 04 14 13 03 55 Do not automatically create new client records ea General updates Openwork Quit Click onto the message and proceed to the Contract Enquiry Mapping Screens Each of the policies that require mapping will be listed CAPITA FINANCIAL SOFTWARE Data updates Full Match 8 out of 11 E Policy available to Pre Process B
48. n Life Assurance Free Standing AVC Personal Pension Plan High Growth Bond Retirement Enhancer Account Individual Buy Out Plan Section 32 Plan Individual Pension Plan With Profits Bond Individual Stakeholder Plan 24 hours Bond or pension products will be A seven digit number i e 1234567 or A seven digit number with a trailing check character i e 1234567A or A check character prefix followed by a seven digit number i e N1234567 Bond policies could also be in the following format BNDC prefix followed by a 6 digit number i e BNDC123456 or BNDC prefix followed by a 6 digit number a forward slash and 6 digit segment number note the segment number must be specified for certain types of policy i e BNDC123456 001100 Current and transfer for pensions Current and surrender for bonds MEXID SEDOL This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 14 CAPITA 3 7 Cofunds Individual download Support contact Web address Accessibility Registration details Products supported Service availability Portfolio reference number format Valuation types supported Fund codes returned
49. ncy Team on 0845 9000 819 Click on Next and you will be invited to review the details you have input e If you are satisfied with what you see select the tick box to agree and then click submit Should you wish to change anything you can do this by clicking on make changes next to the section you wish to amend e Your registration is now complete and you will see a thank you note displayed Aviva will contact you shortly by post usually within two working days to confirm that your account has been activated Linking your UNIPASS with Aviva e Goto www aviva co uk adviser e Onthe home page click Log in on the top right e Click Unipass Login e Select your Unipass if you have more than one then click OK e Enter in your OAN amp PIN e Click Next e You are now linked up Individual and group pensions Investment bonds 07 30 20 00 Monday to Friday 08 00 16 00 Saturday nnnnnnnxx a 7 numeric characters with a 2 alpha character suffix xxnnnnnnnn a 2 alpha character prefix with 8 numeric characters The policy number should not contain spaces or characters No pension scheme numbers the service uses the member policy number Current and transfer for Current and surrender for bonds pensions Provider specific The OAN is initially only linked to one agency code If this is a master agency code full access will be granted If any sub agency code is used at registration user
50. nistrator Valuatons Date of current valuation 13 03 2011 E b Valuation and reports Next scheduled valuation C O Gather CE Valuations for this Wrap s Contracts Quit This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 46 CAPITA Once this button has been selected the following message will appear Message Would vou like to obtain a Full wrap valuation or gather individual valuations For each of the contracts within e Contracts this option sends multiple valuation requests to the providers to update each individual contracts held within the wrap where supported by contract enquiry e Wrap sends a single valuation request to the provider to update the wrap contract and all contracts within Select as appropriate Dealing with the Valuation Once the value has been received navigate to Updates gt Received to access the valuation message CAPITA Data updates FINANCIAL SOFTWARE Updates gt Data updates received Received Data updates received and waiting processing for user ams Received data Select a message to process from the list below Processed Unt
51. ns for the 3 records listed Electronic Manual Include archived holdings O 4 17 04 2014 5 Valuations ready to be scheduled will be displayed and can be filtered by Due Today Provider Consultant and Service Manager 6 Select the filter required and then select Process valuations for the records listed Once selected this will then gather up all the requests and create a batch request For any individual plans that do not need to be valued on that date use the cross at the end of the record to remove them from the list 7 When the batch request has loaded select Start Batch Contract Enquiry This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 33 CAPITA 2 Quay Contract Enquiry File Settings Tools Help CAPITA Contract Enquiry FINANCIAL SOFTWARE Queued 2 Unsupported 1 Failed 0 Completed 0 Skandia Lite Mary Demo Black 518009350943 Request Queued Skandia Life Feter Demo Black HIBOOS 35087 Request Queued Ik Start Batch Contract Enquiry 8 Contract Enquiry will then request the batch enquiries whilst the user can continue to use the system when complete a pop up
52. nswnadacievniniecndosatesisvied E E E E 21 IAO OSA NON e E E E E 22 3A A a a E E E nee een eee ere 23 s MN a E E E E EE E E EE A E herb caneacternen neus 24 3 19 Zurich including Allied Dunbar Eagle Star and Sterling ASSUrANCE cccccccccsssecceeeeeeeeceeeeeeeeceeseeeeeeeeeeeas 25 A Using Contract COU conpsces venccarranaeas corinacw ainn a TEESE AENA T NEATE Aa Ea Rani 26 4 1 Requesting Individual Valuations Using Contract Enquiry Application cccccesccccesseccceesecceseesecesseeceeseees 26 4 2 Importing Individual Contract Enquiry Information into the Back OFFICE cccccccessececeesececceeseceeeeseceeeeees 28 4 3 Sched led and Bate ValudUOn S aerea 33 4 4 BUIK DONIO e E 36 4 5 Importing Policy Information via a Spreadsheet Template cccccccsssecccceseccccescceceesececeeeceeseeecessegeceesenes 37 S FA A E E A A A 39 PRS CC ETE E E E EA EE E E E E E E E E T E E E EAE E TE 41 PTO NC I AVIN e E E 41 Appendix B Fidelity F UndsNetWOTK s noncdusenaneauctatesduteunraguneseinsstneaesacuetebaeaubussaanasocionadeeauanacgeeebneasdasinesatanbnedeaeunpedactabesdune 44 Am enak anaE NT I E EEE E E EEE 46 This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permis
53. o uk September 2014 v1 5 39 CAPITA Does everyone need to set up Contract Enquiry access All machines that require access to Contract Enquiry must have an individual digital certificate and also have the appropriate provider and intermediary settings completed in order to use the service What training is available Contract Enquiry is trained on the Getting Started course We can also provide specific training on Contract Enquiry either online or as part of a bespoke training session in your office Please contact the Client Care Team on 0800 028 0033 to discuss the options available This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 40 CAPITA Appendices AVIVA Appendix A Aviva To begin receiving automated valuations you must have registered for an Online Account Number OAN on the Aviva for Advisers site www aviva co uk adviser If you are using a UNIPASS digital certificate this must also be registered with Aviva The OAN is initially only linked to one agency code If this is a master agency code full access will be granted If any sub agency code is used at registration users wil
54. ormation will now be attached to the policy in CCD At this stage any existing funds that have not been matched will be archived automatically This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 31 CAPITA NB It is possible to process the enquiry without matching to the FE fund but this will mean that the next time an enquiry is received containing the same fund it will appear in the list to be mapped Completing the mapping now will save time in the future It should also be noted that matching to FE fund level enables additional checks to be carried out in the background to validate currency codes and highlight any substantial differences on the inbound fund prices compared to the existing funds If the client had not been matched during the import then there are 5 search criteria for the client Surname NI Number Company Name Date of Birth Postcode m BP WN e If the policy has not been matched during the import then there are 4 search criteria for the policy Policy number Product Basis Product Category e UU N e Scheme Name This document is the property of Capita Financial Software Ltd CF
55. ort Team or your Central Administrator will contact you to finalise your registration request Bonds Pensions Endowments 07 00 24 00 GMT Monday to Sunday Please note examples of policy number variations below e ANNNNNNN e ANNNNNN e NNNNNNN A Alphanumeric Character N Numeric Character Current and transfer for Current and surrender for bonds and pensions endowments SEDOL where available If the fund does not have a SEDOL code a provider specific code will be returned If you have already registered your Unipass certificate on the Canada Life Adviser zone there is no need to register again but do ensure roles amp agency numbers have been properly applied to your profile by your Administrator to ensure successful valuation requests This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 13 CAPITA 3 6 Clerical Medical Support contact Web address Accessibility Registration details Products supported Service availability Contract number format Valuation types supported Fund codes returned 0845 609 2233 option 2 available 08 30 17 30 Monday to Friday www scotti
56. osed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 42 CAPITA Provider system problem Please retry later and if problem persists please Details cannot be returned contact the Life Online Support Team on 0845 309 Please try later 3999 Providers system not Please try again within the hours of service available as it is outside the Monday to Friday 0730 2000 hours of operation Saturday 0800 1600 Sunday Closed This contract cannot be Record in CRM that online valuation not possible accessed under contract Please call Aviva to request a valuation enquiry Pensions 0845 9000 815 Investments 0845 9000 810 User not recognised This could simply be that the Online Account Number and PIN password that have been input are incorrect Check in CRM that the details are correct if the error still occurs please contact the Life Online Support Team on 0845 309 3999 User not allowed access Each OAN UNIPASS is initially only linked to one agency code If any sub agency code is used at registration users will only have access to contracts written through that agency code Our Life Online Support Team can check update the mapping on your account please call them on 0845 309 3999 Useful Aviva contacts Pension 0845 9000 815 Investments 0845 9000 810 Life Online Support Team 0845
57. ow Un matched only Record 1 outof 2 lt gt FE Funds Skandia Prof OM Voygr Divfd Pn Provider Provider Fund Name Investment Type Skandia Collective Investment Sub Type UK Pension Fund Currency Code GBX fund _ name SK OM Voyager Di fund_sedol_code fund_mexid_code 5 a Search key fund_epic_code 1 Fund Name 2 Citicode 3 Sedol 4 MexID fund_other_code Search text 1 unit_holding_type Accumulation oO SK OM unit_currenc y GBP Skandia GBP OM Gbl Strt Bd IRL EUR Provider Provider Fund Name Investment Type Collective Investment Sub Type Offshore Insurance Currency Code EUR Skandia Life Assurance Company Limited unit_price_date 2014 04 17T12 01 33 number_of_units number_of_units_date 2014 04 177T12 01 33 value_of_units value_of_units_currency Skandia GBP OM Gbl Strt Bd IRL GBP Pre_1997 Provider Skandia Life Assurance Co mpany Limited Post_1997 Provider Fund Name Investment Type Collective Investment Sub Type Offshore Insurance Isin Currency Code GBX Citicode Investment_Key NI_No ti de OPM oe Ch oes odors som The FE Fund mapping only needs to be completed once for each fund and this mapping will be applied in all cases where the inbound fund is used regardless of whom the client or the provider is or which policy it is As this is a single policy valuation once all of the mapping has been completed you can process all entries and exit The fund inf
58. pop up message will appear on screen informing the user that a contract enquiry message has been received 2 Navigate to the Updates section either using the link on the Details page of the Holding or by clicking on the Updates module in the main menu 3 Within the Received data section the message is waiting to be processed Select the message and view the information listed if a match has not been found the message will display a warning and details of the issue Updates gt Data updates received Received Data updates received and waiting processing for user ams Received data P Message sender Message type OBP Import Ingrid Fletcher SIML Investment Fund 14 04 10 09 50 30 O55 Financial Express Fund Price complete update 26 04 10 19 03 00 Contract Enquiry Contract Enquiry 28 04 10 14 11 22 Do not automatically create new client records E General updates Openwork 4 2 1 Mapping the Contract Enquiry Message to CCD When a Contract Enquiry message is imported the following page will be displayed CAPITA Data updates a Full Match 0 out of 2 E Contract Enquiry Mapping Policy available to Pre Process M Client Mapping Show Un matched only Mary Black i Search key To sae ern Feces SEMESTRE 1 Surname 2 NI Number 3 Company Name 4 Date of Birth 5 Postcode Match Level Unit Price Number of Units Client Policy Fund FE fund 12 3 4 5 Search text Select Client SK OM Voyager Diversified 1 0480 2
59. r than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 30 CAPITA Using the radio buttons select the search method that you will be using for each fund you can select a different search for each fund Enter your search criteria and click on Search Fund names will search on partial or full information as below If you know the exact name as it appears in the FE fund list you can enter in the search text ahead of the fund name i e SK OM Voyager Diversified CAPITA FINANCIAL SOFTWARE Data updates Contract Enquiry Mapping Financial Express Mary Black Investment Bond Skandia SIB009350943 Match Level Client Policy Fund FE fund 1 0480 287 8672 yY y v Unit Price Number of Units 9440 121 3207 yY yY yY ds Full Match 0 out of 2 E Policy available to Pre Process W Show Un matched only Process All Entries and Exit Search key 1 Fund Name 2 Citicode 3 Sedol 4 MexID i 2 3 4 Search text Select FE fund 000 SKOM E Search 000 Select the fund required As with the fund mapping more detail can be viewed using the detail button CAPITA FINANCIAL SOFTWARE Return to the list view Inbound Detail patchref SM117 04 201412 02 02 responder_id Insurer CCDProviderCode contract_number case_reference_number Data updates Process All Entries and Exit Sh
60. r what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 45 CAPITA Appendix C Standard Life Wrap Standard Life When processing a CE valuation for a Standard Life WRAP the following information must be recorded on CCD e The WRAP with a status of In Force with the correct contract number e A Trustee Account with a status of In Force and the correct contract number Even if the WRAP has Directly Held Assets or Contracts these do not need to be set up on CCD as this can be done from the information received back via the CE update The only exception to this is 3rd Party Contracts within the WRAP These cannot be valued via the WRAP CE and will still need to be valued separately This can potentially be done by using CE if the 3rd Party Contract Provider is supported Requesting a WRAP Valuation Requesting a WRAP valuation is done in the same way as requesting a value on any other plan CAPITA Holdings records FINANCIAL SOFTWARE gemma Clit gt Standard Life Wrap Centre gt Wrap gt AWPLOOOOOO LJ Clients gt Holdings gt Details Holdings Contract details Assets Income Analysis Were OD rod uc Contributions Details Historic valuations ere ae Self employed f employed PO Commission Return on death before retirement Submission In trust iew trustees Selected retirement date El 4l Auto fill To age Coammission admi
61. rent Contract Enquiry providers and messages supported Contract Enquiry Products areas Individual Min CCD Fund codes used Provider providers or bulk version codes supported Aegon Pensions Individual 3 2 Provider specific ASEQ SCEI Bonds 3 3 3 SCEQ Aviva Pensions Individual 3 3 3 Provider specific NOUH NOUI Bonds 3 3 3 NOUL AXA Wealth Bonds Individual 4 x MEXID AXWE WILI Winterthur Provider specific WEFEPL WINL Canada Life Pensions Bonds Individual 4 x SEDOL CANL Endowments Provider specific Clerical Medical Pensions Individual 3 2 SEDOL CLME CLMI Bonds 3 3 2 MEXID Cofunds All fund Bulk 3 2 MEXID COFU information Individual 4 x Fidelity All fund Individual 3 3 SEDOL FIDC FIDE information Provider specific FIDL FLF Fidelity FundsNetwork All fund Individual 3 3 2 SEDOL FIFU information Provider specific Friends Life Pensions Individual 3 2 Provider specific AXAG AXSU AXA Heritage Bonds 3 3 2 FRLI Friends Provident Pensions Individual 3 3 Provider specific FPAM FRPI Bonds 3 3 2 FRPR Legal amp General Pensions Individual 3 3 3 SEDOL LEGE Bonds 3 3 3 Provider specific Old Mutual Wealth All fund Individual 4 x SEDOL OMWE SELE Platform Skandia information MEXID SMFL OMWL Investment Solutions SEIL SLPL Old Mutual Wealth Pensions Individual 3 2 SEDOL ROSK SIML Skandia Bonds 3 3 2 Provider specific SKAN SKLA Prudential Pensions Individual 3 3 Provider specific PRBA PRUD Bonds 3 3 2 PRUI Scott
62. rrently loaded This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 CAPITA 3 Provider Registration Once the initial setup has been completed the next step is to register with each product provider Registration details differ for each provider Some will only require one individual to register on behalf of their firm whereas others require each individual user to register The majority of applications can be completed online and access granted within the same day although some firms will post the access details This section provides a summary of the providers currently supported and details the registration requirements and information for each provider This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 CAPITA 3 1 Provider Overview Table This grid provides an overview of the cur
63. rror message Action Aviva Life Authentication Your online account number is locked please call the failed please call the Life Life Online Support Team on 0845 309 3999 to re set Online Support Team on 0845 309 3999 between 08 30 and 17 30 Monday to Friday Contract not found We re sorry but an online enquiry is not available for this policy Please call us for a valuation on 08451 444 444 between 9am and 5pm Mon Fri Enquiries on this Product Type Sub Type not supported by Provider The contract on which you are enquiring is currently undergoing an alteration It is not possible to return any data at this time your PIN before trying again The policy number format you have input may be incorrect or the policy might have been transferred surrendered or maturated Please call Aviva for a valuation Pensions 0845 9000 815 Investments 0845 9000 810 Please call 08451 444 444 to request a valuation Record in CRM that online valuation not possible Please call Aviva to request a valuation Pensions 0845 9000 815 Investments 0845 9000 810 Aviva are currently making an alteration to the contract please try again later if problems persist call Aviva Pensions 0845 9000 815 Investments 0845 9000 810 This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or discl
64. s Standard Life AWP1039642 006 ISA Cannot Locate contract 169 38 I gt Details Standard Life D1045694000 Self Invested Personal Cannot Locate contract 218 451 59 b Details Standard Life SIPP Trustee Bank Account Cannot Locate contract 46 999 11 Ib Details Standard Life 99999999 External Bank Account Bank account 0 00 b Details Pic further action required Further action required The items showing in bold on the CE Contracts tab are the WRAP and also a SIPP which is a Contract within the WRAP e If the item has this icon at the beginning of the line no further action is needed e ifthe item has this icon at the beginning of the line some work is required Within the CCD Contracts tab is a list of all the contracts currently set up on CCD CAPITA FINANCIAL SOFTWARE Wrap valuations The details of the selected Wrap is below Match the sub contracts and directly held assets for the Wrap and click Process Contract Enquiry to update in CCD Client Details Message Details Clift GH Source Standard Life 17 Poachers Lane ENi1 7SN CE Contracts CCD Contracts The contracts below are what is currently on CCD within the valued wrap policy Any policies that are shown in red have not been automatically matched to a CE contract this is either because the contract has been paid up cancelled or the contract number does not match the CE version Provider CCD Contract Type Contract Num Valuation Standard Life Wrap Cen
65. s the batch of valuations and provides real time feedback to the user about progress success and valuation failure All of this is done in the background and via a separate software window which allows users to continue with their work unaffected by the processing of what could be thousands of valuation updates When all valuations in the batch have been successfully completed the user is alerted and invited to complete the update so that the client s files are updated Any errors are summarised and can be printed so that investigation can be undertaken to rectify the problems This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 3 CAPITA Spreadsheet import allows users to add valuations and funds to a contract set up in CCD The spreadsheet is imported into CCD and the information is then handled in CCD as for any other Contract Enquiry This is useful for Providers that have not yet implemented Contract Enquiry but who make full details of all contracts held by an IFA in either Excel or CSV format available via their extranet Spreadsheet import can also be used for model portfolios that are rebalanced by Di
66. s will only have access to contracts written through that agency code See Appendix A for further details This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 11 CAPITA 3 4 AXA Wealth Previously Winterthur Support contact 0845 129 9993 Web address www axawealth co uk Registration details Please login to the adviser area on the AXA Wealth website and follow the steps below If you are currently registered to use AXA Wealth s range of online adviser services you will already have the necessary username and password set up on your back office system However there are a few further steps which you need to complete before you are able to use this service for the first time 1 Sign and return our terms of business form 2 Accept our online terms and conditions 3 Change your password if you registered to the site more than 90 days ago 4 Input your AXA Wealth login details into your back office system and follow the instructions Once these steps have been completed you will be able to access the valuation service Accessibility Username and password Products supported Pensions and bonds Service ava
67. scretionary Fund Managers Users will only need to add the funds for each model portfolio once and then copy and paste the portfolio for each contract onto the spreadsheet and import This will save a considerable amount of time especially when the DFMs rebalance on a regular basis Coupled with the ability to produce individual Contract Enquiry requests on demand these solutions offer users the ability to really take control of the automated valuations and decide when they wish to receive the information This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 4 CAPITA 2 Initial Setup In order to take advantage of the Contract Enquiry functionality a number of steps must first be completed before the service can be activated 2 1 Agency Information Before a user can register for Contract Enquiry services with providers they must have the correct agency numbers ready in order to complete the provider s registration details Incorrect agency records will mean that users will not be permitted to request and receive Contract Enquiry messages You should contact the provider direct to ensure you understand their pol
68. shwidows co uk extranet Unipass certificate or username and password You need to set up terms of business with Clerical Medical before you can register for e Services The easiest way to register for our e Services is with a Unipass Digital Certificate 1 Go to www unipass co uk and click on Apply now It will only take a few minutes to apply and your new Unipass certificate is usually available within 1 2 working days 2 Once you get your Unipass or if you already have a Unipass certificate you just need to register via our website http www scottishwidows co uk extranet servicing login register html Click on register under Clerical Medical and then Register your Unipass with us You ll need to accept our terms and conditions and answer a couple of questions to register your certificate with us and access our e Services We recommend registering for our e Services with Unipass it s safe secure and easy to use If you d prefer not to use Unipass you can still create a username and password to access our e Services To do this read and accept our terms amp conditions and follow the simple on screen instructions You ll then need to complete and return our e Services registration form to register Clerical Medical Buy Out Plan Investment Bond Discounted Gift amp Income Bond Investment Portfolio Distribution Bond Pension Transfer Account Flexible Bond Personal Pension Account Flexible Growth Bond Personal Pensio
69. sion CFSL www capitafinancialsoftware co uk September 2014 v1 5 2 CAPITA 1 Introduction 1 1 Electronic valuations sometimes called Contract Enquiries or real time valuations allow a user via their back office system to obtain up to the minute valuations from product providers By avoiding the need to contact the provider direct users can save a significant amount of time and resource by simply exchanging data electronically Contract Enquiry enables electronic updates of funds and units from the product provider s database directly into your back office system Client Care Desktop CCD A message is sent from your system to the provider that contains the contract details you wish to enquire about A message is sent back from the provider supplying the details the message requested For most providers this is the current assets that the contract is investing in and the number of units held allocation as well as the current price of those units Some providers are also able to deliver additional details such as transfer and surrender value and where available these are used to update the holding record within CCD If the message you send to the provider is incomplete or inaccurate for example if there is a mismatch with the data you have sent to the provider and the information they hold on their system a failure message will be returned detailing the issue It is therefore vitally important that the data you hold in CCD is
70. ssion CFSL www capitafinancialsoftware co uk September 2014 v1 5 50 CAPITA Process Contract Enquiry message CE Contracts The contracts below have been returned by the provider and are contained within the valued wrap policy Provider Contract Num CE Contract Type CccD Contract Type Valuation Standard Life AWP1000000 Wrap Wrap 796 572 13 b Details Ww Standard Life 34728 Wrap Cash Account Cash account 0 00 b Details Ww Standard Life AWP1000000 002 Investment Funds New Investment Bond Unit 194 78 b Details W Standard Life Iwio00000091 Investment Bond New Investment Bond Unit 577 756 38 b Details Ww Standard Life AWP1039642 006 ISA New Individual Savings 169 38 b Details Standard Life D1045694000 Self Invested Personal New Self Invested Personal 218 451 59 b Details Ww Standard Life 000i SIPP Trustee Bank Account New Bank account Deposit 46 999 11 I gt Details Ww Standard Life 99999999 External Bank Account Bank account 0 00 b Details VP No further action required Further action required 4l Exit d qui Once the message has been processed the new contracts will have been set up against the WRAP Updating CCD CAPITA Holdings records FINANCIAL SOFTWARE Gemma Clift gt Standard Life Wrap Centre gt Wrap gt AWP1OOOOOO LJ Clients gt Holdings gt Details gt Assets gt Contracts Contract details Assets Income Analysis Add note Bank accounts Directly held Contracts Wrap repor
71. tomatically issues you with a user ID and password To register please follow the simple instructions on the home page You can also access Contract Enquiry by using a Unipass certificate which must also be registered with Legal amp General via IFA Centre This information will be authenticated with our security systems to check that you have permission to view details of the policy you are enquiring on With Profits Income Bond With Profits Bond Personal Pension Plan Group Personal Pension Stakeholder Pension Plan With Profits Growth Bond Self Invested Personal Pension Investment Bond Plan Money Market Bond Personal Investment Pension Capital Investment Portfolio Plan Capital Conversion Plan Self Employed Plan Inherit Protect amp Income Plan Free Standing AVC Distribution Bond Guarantee Buy Out Plan Section 32 Single Premium Investment Plan Company Pension Plan Group AVC 08 00 21 00 Monday to Friday Pensions 1234567890 10 Digits UP1234567 UP followed by 7 digits without any spaces U 123456 U followed by 2 spaces and 6 digits Bonds 1234567890 10 Digits US1234567 US followed by 7 digits without any spaces Using any other format will result in a failed response message Contract not found Please use uppercase for policy numbers Current and transfer for Current and surrender for bonds pensions SEDOL where available for Fund If the fund does not have a SEDOL code a provider spec
72. tre Wrap AWP1000000 0 00 Ib Details Standard Life Wrap Centre Cash account 34728 0 00 Ib Details There is nothing to do in this tab it is for information only Dealing with Exceptions Moving back to the CE Contracts tab any item with the will need to have some work done This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 48 CAPITA CE Contracts CCD Contracts The contracts below have been returned by the provider and are contained within the valued wrap policy Provider Contract Num CE Contract Type ccD Contract Type Valuation Standard Life AWP1000000 Wrap Wrap 796 572 13 b Details Ww Standard Life 34728 Wrap Cash Account Cash account 0 00 b Details Standard Life AWP1000000 002 Investment Funds Cannot Locate contract 194 78 b Details Standard Life Iwio0000091 Investment Bond Cannot Locate contract 577 756 38 b Details Standard Life AWP1039642 006 ISA Cannot Locate contract 169 38 b Details i Standard Life D1045694000 Self Invested Personal Cannot Locate contract 218 451 59 b Details Standard Life SIPP Trustee Bank Account Cannot Locate contract 46 999 11 b Details v Standard Life 9999
73. ts Cessation ee Provider Contract type Contract na Commission alanis Standard Life Investment Bond 44P 1000000 1o fo2 2010 Standard Life Self Invested Personal Pension Db1045694000 1S orf2o07 Standard Life Investment Bond IWigogooo9l 1Ssforf2oo7 456 027 00 Standard Life Individual Savings Accounts AWPLOS9642 1o fo2 2010 169 35 Total value of contract based assets 674 842 70 Ik View archived contracts Total borrowing recorded 0 00 Quit When using CE to add assets to the WRAP only the assets within the WRAP will be set up the contributions won t be Therefore to ensure that this record is kept fully up to date contributions will need to be recorded in the normal way For further information relating to this please use a Complex Holdings User Guide This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 51
74. u have processed the policy The mapping process looks to match in 4 areas e Client the client does does not appear in the CCD database e Policy the policy number has has not been found in the CCD database e Fund the fund is is not already held against the policy e FE fund the incoming fund has has not been matched to the equivalent fund in the FE fund table In the above example both the client and policy have been matched but Fund and FE fund are un matched Click onto the Fund heading under the Match Level section to change the screen to Policy Fund Mapping Data updates CAPITA Full Match 0 out of 2 W Policy available to Pre Process J Contract Enquiry Mapping Policy Fund Mapping Mary Black Investment Bond Skandia SIB009350943 Match Level Detail Unit Price Number of Units Client Policy Fund FE fund Match existing fund New Fund Unit Price Number of Units SK OM Voyager Diversified 1 0480 287 8672 yY Yy A Detail The left hand side of the screen displays the funds unit price and number of units that have been bought into the system The right hand side of the screen is where you will match to existing funds held on the policy or mark that this is a new fund for this policy new business or fund switch To view existing funds click into the box for Match existing fund which will display all of the existing funds held under this policy that are un matched Click on
75. uct Name Current holdings Fund name held Balanced Accumulation Deposit Accumulation Cautious Life Accumulation Current valuation GBP Current valuation amount Type of units In Force Mar Demo Black Skandia Life Investment Bond Unit Linked Bond The Skandia Investment Bond Number of units held date 14 4084 26 04 2010 26 04 2070 26 04 2010 Units valid at Valuation Report Date Time Contract number Unit price Price valid date e 43 0 26 04 2010 4 3880 26 04 2010 2T 26 04 2010 362 13 Current valuation timestamp 26 04 2010 11 49 07 26 04 2010 17 50 52 518009350943 Current value Valuation currency 121 56 GBF 115 23 SBP GBF Quay message alert m New Message Contract Enquiry If the Export valuation to back office option has been selected then a pop up box will appear on screen when the request has been received E This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v1 5 27 CAPITA 4 2 Importing Individual Contract Enquiry Information into the Back Office 1 Once the request has been successful a
76. wrong existing fund you can click existing fund in the Match existing fund field and delete the reference Alternatively click on the Detail button to expand into the fund where you can use the De select button to remove the mapping If the fund mapping is correct click on Return to the list view top left of screen Now move onto the FE fund mapping Click onto the column heading FE fund under the Match Level section to change to the Financial Express fund FE fund mapping screen CAPITA Data updates FINANCIAL SOFTWARE Contract Enquiry Mapping Financial Express Mary Black Full Match 0 out of 2 E Policy available to Pre Process B Show Un matched only Process All Entries and Exit Search key 1 Fund Name 2 Citicode 3 Sedol 4 MexID Investment Bond Skandia SIB009350943 Match Level Unit Price Number of Units Client Policy Fund FE fund 123 4 Search text Select FE fund SK OM Voyager Diversified 1 0480 287 8672 Vv yY y amp oo0Oo candia Deposit 9440 121 3207 v v v 000 Use the radio buttons 1 2 3 4 to select the search method that you will use for the selected fund There are 4 searches that can be done 1 Fund Name 2 Citicode 3 Sedol 4 MexiD This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This document either in whole or in part must not be reproduced or disclosed to others or used for purposes othe

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