CCD Upgrade User Guide for Beta Trial v4.3.2
Contents
1. ch will be cm Wi Dri i ui l D opti S able ilab DN i D in Cabinet CCD Please note Before upgrading to 4 3 2 you will need to take a copy of the items you have in the dropdown list indicated on the screenshot above When attaching documents record it as type After the upgrade you will need to repopulate this list manually following the instructions under the Editable value lists section of this document As the editable values have to be entered individually if you have a long list of values in this field please inform our Client Care team when arranging your upgrade so that our support team can import the dropdown list back into your system post upgrade For future upgrades all values recorded in this editable value list will be automatically populated post upgrade 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 v0 8 20 CAPITA Within the setup area a section will be added to allow the end user to organise the cabinets and specify what areas in CCD should go to each cabinet Setup gt Technical configuration gt Software Word processing Software c Marketing tags2. 0 00 Total amounts offset Contribution to client s Profit Loss te Related project Min fee Max fee Billing set up Time charged Disbursements Print options Quit A Return is E Preview Invoice an lad Copy ws Thorley Wash Bishops Stortford Se a Hertfordshire Mr J Button The penile Sagi tel aa aae Telephone 01279 756060 pn Facsimile 01279 753000 Hants Company registration number SAA BH21 5DE Consultancy fee Notes for consultancy fee on this chen Accounts Ref Invoice date 18 Jul 2014 VAT Number Client account Total time charged Total disbursements changed Total amounts offset Total invoicable items 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 v0 8 28 CAPITA 3 4 Producing a Copy Invoice Within the Client invoicing section you now have the ability to print an original invoice or mark it as a copy invoice Clients gt Client account gt Fees Billing set up gt Print options Contact Personal Data upload Actual amount of invoice excl VAT 600 00 VAT rate applicable to this invoice 20 00 Gross fee 600 00 Amount currently allo
3. API J Data updates Return to the list view Show Un matched only Process All Entries and Exit Inbound Detail Se Sy Se ear Policy Funds Recordioutof2 lt gt batchref SM117 04 201412 02 02 Skandia Life responder_id Insurer CCDProviderCode contract_number J03330345 _F rence number vummys fund name SK C oyager Diversified fund_sedol_code fund_mexid_code SKIVER fund_epic_code Inbound Fund fund_other_code SK OM Voyager Diversified urrency No of Units 287 8672 Price 1 0480 Value 301 68 New Fund X unit_holding_type Accumulation Investment_Key NI_No You can deselect the mapping and return or if the funds are to be mapped then return to the list view top left of screen Now move onto the FE fund mapping Click onto the column heading FE fund to change to the FE fund mapping screen CAPITA FINANCIAL SOFTWARE Data updates Full Match 0 out of 2 W Contract Enquiry Mappin Financial a g PENI Policy available to Pre Process B Show Un matched only ocess All Entries and Exit Mary Black Search key Investment Bond Skandia SIB009350943 1 Fund Name 2 Citicode 3 Sedol 4 MexID Pre Process Records Match Level Unit Price Number of Units Client Policy Fund FE fund se Se ee Search text Select FE fund SK OM Voyager Diversified 1 0480 287 8672 Vv Vv Vv 000 Skandia Deposit 9440 121 3207 yY yY yY a 000 Use the radio buttons 1 2 3 4 to select the search method that
4. Remuneration statement Amounts allocated to receipt number M35528 Value 321 received fram 3hMC UK Limited Contract Date Contract holder Product Provider and Contract type Policy number Transaction received Posted Sm A 33 RWS Caen BA Rada inital reguiar gria 50 00 Sim A 33 RWS Caen BA GAZ inal regular gra S000 Report total z 700 00 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 v0 8 15 CAPITA 2 5 Servicing Reviews The Outcome field recorded on an historical review is now an editable values list enabling you to record a status on the review such as Complete Deferred or Declined Clients gt Servicing Personal Account Add note Data upload Marketing Client servicing proposition po Current client status Current E Adviser Jonathan Dance adii Service manager Holdings 12 Is this a fee paying client Yes Date from which fees are charged 01 07 2012 E ER Switch to Client fees Work 0 Date of next client valuation 18 07 2014 Following 18 07 2014 Provide valuations every Date of next client review 25 07 2013 Month 7 2013 Review every onma gllowing 25 07 2013 Calculators
5. CAPITA CLIENT CARE Manage Clients Better Client Care Desktop Upgrade User Guide Version 4 3 2 CAPITA Contents Bs MAO TIO Ih ere saeccnceeuienesateacasayecnaa usa eeeecene sap onoees sancti yeu sseeadendnsatuencaessseuanoaeqdeneanseeascetseateatececn seas uactamateawmeanesvenenmtucceses 3 2 New Features and MOifications cccccsssssssecccccccceessseeececccssaeesseeeccceeseeeusseeeecceesseeuseeeeeeessssueussseesecessauaaageeeseess 4 2 1 NEW Contract Enguiry FUNCHIONGIILY scutssisveasescasausesivecsscusdsensssdvanche aadanssawudcnonsiveesesiaunctavaadand Aaauseaeesteacesdaeesnevers 4 LLL MINOR ee scree eae E E cs octets oe espe nse ee aa anew secs pee naes peu haey E ncecanancsea as 4 2E AVALON arog eee ete a a Dey ge ts en vt encanta Oop teen cea ewsecatbexce sas 6 ZZ EQItAOle Value MISES ccsrcansurcesigectot candesrdvunsetobacuesuadeusetuetoaiaieduuvenie you detnas deal S 11 2 3 COMmpllance Reporting DY Bran Mswiaresesiscnecedadenmsaiacsicgsatunanioslandae casts R E E E EST 13 2 OREDO oe a E E E daeeaa 14 Za ENVIEN R VE N a a E E E E gate dacnecoriad innney 16 Z oOREMUNEraItOmM POSTIHNE siso a E 17 DF CENCIA o E E schist dena unes sch adineeusdanie seek vniacasconbaca cunts 19 2 8 Document Management Changes INVU and CabiNET ccccccccsssecccesececeesecceeeeseceeeeecetseeeceeseeseeetsgneess 20 PO PCO Ei OAS CS sates cetisss sansa S tne une etocinceeseeneeae aeeseiue 22 2 10 BADER IU a EE acces E E E a
6. 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 v0 8 10 CAPITA 2 2 Editable Value Lists New functionality has been included to retain lists that have been edited by the end user in their current version and populate the upgraded system with the new core editable value lists together with the values entered by the firm where a value has been recorded against a record in the CCD system If a value in the list has not been used in your current system the value will not appear in the list after the upgrade i e if you added Duke Duchess and Lord under the contact Title field but only used Duke and Duchess Lord would not appear post upgrade Once you have upgraded if you add in any new values to the lists the values will be retained when you next upgrade even if the values have not been recorded against a record Please note Before upgrading to 4 3 2 you should ensure you have used the Editable Value List document to note all of the values recorded in your current system that have not been used This will allow you to repopulate these values into the system post upgrade to appear in your dropdown value lists to select from Important note for users of the Document Manag
7. Enquiry Advice date Advice basis Advice type category Terms of business Client agreement sent SCDD CIDD date sent Menu date sent Checklist Limited information Simplified Basic Verification of client ID Fact find date Execution only letter Limited info Restricted advice disclaimer Product research dated Suitability report dated Suitability report sent Illustration dated Illustration Key features sent Hon Non Risk warnings provided Replacement poli ii 7 Gpp Compliance checklist complete Restricted advice Contractual Increase Auto Enrolment Perreererr rr irr rrerirrrre tities Full compliance eee pee ee ee See pounn Prrereeereereetrrrrrrrerrerrrerrrirrtrererrrerrrt rir r ttt nnn regulated advised Execution only Insistent client Direct offer contractual member ek eee ae eae amend compliance checklist Auto enrolment has also been added to the Business Source core custom editable value list 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 v0 8 22 CAPITA Chents Clients gt Holdings gt Administration Case so
8. Ik Add historic review Contact Historic Personal Account Data upload Marketing Notes Complete Deferred Declined iew Lucky Holdings 12 Work 0 Documents Calculators WE FOEN EAE Reports Ik Save dl Cancel Client reviews A new review report is available within the administration area to provide a summary of reviews carried out during a specific period summarised by outcome 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 v0 8 16 Admin Administration gt Reports gt Rewiews Remuneration List all plans due for renewal or review within the date range Diary List all plans due to mature or expire within the date range Enquiries New business eyiew within the date range Remunerations List all plan Time recorded Geo Sane List all plans due for valuation within the date range Compliance List all clients due for valuation within the date range List all plans with events due within the date range Marketing Product basis Staff ref Provider Region Introducer Location 4l Return El Preview
9. OBP Import Ingrid Fletcher SIML Investment Fund 14 04 10 09 50 30 Oss reap avr EERI p EIS z A a E M 19 03 00 Contract Enquiry Contract Enquiry 28 04 10 Do not automatically create new client records ea General updates Openwork When a Contract Enquiry message is imported the following mapping screen will be displayed CAPITA FINANCIAL SOFTWARE Data updates Full Match 0 out of 2 B Contract Enquiry Mapping ee Glent Mapping g available to Pre Process M Show Un matched oy Process All Entries and Exit Mary Black Search key Investment Bond Dniie Gli hie isl h 1 Surname 2 NI Number 3 Company Name 4 Date of Birth 5 Postcode Match Leve Unit Price Number of Units Client Policy Fund FE fund 1 2 3 4 5 Search text Select Client SK OM Voyager Diversified 1 0480 287 8672 yY yY oooo fary Black ndia Deposit 9440 121 3207 yY yY oooond 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 only To view all messages that have matched click onto the Show all or Show match only tabs at the top of the screen 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
10. Planning Living with partner Yes at my address Holdings Married to partner Date of Marriage Yes Date Nationality bahamian Residency AEE B Ba ee Bahraini Place irt eee Conaadesh Health notes Barbadian Smoker Barbudans Height Weight Alcohol units pstewana Hazardous sports pastimes Requirements Analysis Submission mes 477 ea P wk Belarusian Personal details Belgian Belizean Beninese You will also start to notice that many of the existing lists will reduce as you start to enter the data Client Client gt Fact find gt Personal gt continued Date of birth 21 10 1970 21 10 1970 10 2 1970 i0 2 1970 Age admitted Yes 00 Gender Male Female Marital status Married Married its Affordability Net worth Borrowing Planning Holdings Requirements Living with partner Yes at my address Married to partner Date of Marriage Yes Date Nationality brazilian Residency WIARE Tax Domicile Place of birth Analysis British Submission Bruneian State of health Health notes Smoker No Height Weight Alcohol units 1 57 Mtrs 800 Lbs 50 P wid mtrs 477 Kg P wde A Hazardous sports pastimes Personal 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
11. User info Admin codes Standard text Staf list Providers Products Prices Preferred quotation platform Webline ae Document management INVU third party Branch code 1234 Client Ref prefix Optional client list view Forms Tables for I TiUlE iple branch User licence Compliance check trigger ig mian nce Steet Client overview ref choice User defined Fact find defaults I ane nie none seein ba afault Fiy Start up Modules Setup gt Technical configuration gt Software User info Applications Admin codes Standard text Staf list Prowiders Products Prices Word processing Software ct Marketing tags These filing cabinets should match existing cabinets in Invu Y z EE E A EE EE TE A AE i Add Cabinet and use the same indexing structure orms Sertons Tables User licence Click on the file image to import a new template for the ini file 4 Return Enter user passwords under staff list If you would like to update the InvuBondTemplate ini file and your cabinet options please contact Lindenhouse to discuss your modifications beforehand to ensure your proposed changes will not prevent access to your documents 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 h
12. current date or end of month Tables Default VAT rate Default apply VAT on client fees Default apply VAT on holdings User licence Apply tolerance settings during remuneration reconciliation Tolerance minimum maximum value Tolerance i Pay Introducer splits on gross or net Estimate the remuneration due date Remuneration suppression Date for reconciliation purposes Date Received Withheld remuneration payment to advisers where compliance incomplete If you are a network member you can agree to pay introducers based either on the total gross remuneration or the net that you receive after the network deductive 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 v0 8 18 CAPITA 2 7 Licencing A simplified CCD re licencing procedure has been introduced to allow the update of licences in one quick easy step Before the licence expires on CCD you will be sent a set of new licences in a txt document You will need to save the document to your desktop or another location on your machine Navigate to the User Licence area within Setup click Add Licences and na
13. in capital assets Calculators Increase in net income Next contract review date Product review Protection against medical expenses The Product display name appe Pedic Wiese clk Pennies arwritten 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 v0 8 29 CAPITA 3 6 Equifax Website Link Update Within the Identity area on a client record the Equifax website link has been updated Clients Clients gt Documents gt Client Identity Details Meets the standard evidence EJ Calculators Exceeds the standard evidence Reports amp Print Confirmation of Verification of Identity Date last updated 22 07 2009 Ik HM Treasury listings for suspected terrorists ie HM TREASURY E UIFAX Fo frormation regarding Ss Qti Money Laundering Solutions Wit the Equifax website Current 3 7 Changes to the Upgrade Routine The upgrade routine has been updated to condense the number of actions performed to run the upgrade Clients upgrading from a more recent version of CCD should benefit from a reduced upgrade time Once the Installation has completed a summary of the upg
14. 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 v0 8 6 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 you have processed the policy The mapping process looks to match in 4 areas e Client 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 Financial Express 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 heading Fund to change the screen to Policy Fund Mapping Data updates CAPITA Full Match 0 out of 2 W
15. to the field hold down the Control button Ctrl and click into the field 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 v0 8 11 CAPITA l Return Il Afternoons Anytime Evenings Mornings Weekdays Weekends The value list for the field will be displayed with an option to add a new value to the list by clicking on the button atthe top right To return to the screen click on the Return button at the top left The lists will be displayed in alphabetical order on the input screen which will be filtered down as you start to enter data and will auto populate if there is only one option left The ability to update these value lists can be provided to all staff or restricted to those who have access to the Setup area of the system Setup 7 Setup gt Technical configuration gt Data Applications Passwords Remunerations Regional Word processing Software Extracts Marketing tags Price feed Process fund update after Financial Express dovmload O Technical Remind me to run a full update every 10 days La lz Client data de duplication Ik De duplicate client details ODBC data source b Set
16. you will use for the selected fund There are 4 searches that can be done 1 Fund Name 2 Citicode 3 Sedol 4 MexID Using the radio buttons select the search method that you will be using for each fund could be a different search for each fund Enter your search information and search Fund names will search on partial or full information as below 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 v0 8 8 CAPITA CAPITA FINANCIAL SOFTWARE Data updates Contract Enquiry Mapping Financial Express Mary Black Investment Bond Skandia SIB009350943 Search key 1 Fund Name 2 Citicode 3 Sedol 4 MexID Match Level Client Policy Fund FE fund Unit Price Number of Units 12 34 Search text 1 0480 287 8672 vv v OOOO SOM eee 9440 121 3207 y yY yY amp ooo Show Un matched only Full Match 0 out of 2 W Policy available to Pre Process B Process All Entries and Exit Select FE fund 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 Inb
17. Historic Reviews Historic client reviews between 18 07 2013 18 07 2044 Historic Next Client Client status Client type Servicing Level Review date Created date Review date Dan Hitchcock Test company Current Corpore 2506014 77Na HI Jonathan Dance Jm Smi Current indice Brome CONF 1 4 Cri ba a Ail bs John Sih Curent individual Brome TEM 14 TEAR 014 C0115 Jerson Eamon Curent individual Te 2014 Ter 14 SOS Complete John Smi Curent individual Brome SOE 14 eta E Hl Jom Sh Curent imdha Broze Cor a1 4 ah dae m0115 El Jmn Smi Curent indice Broze COT 14 CMO 214 baa Pi bs Declined Jorn Smi Curent indhil Broze arn aE Das 2 6 Remuneration Posting New options are available to specify whether you wish to post regular and renewal entries up to the current date or through to the end of the month This will allow you to choose when to post your regular and renewal remuneration to e All remunerations due up to and including the date they are posting default e All remunerations due up to and including the last day of the month they are posting in 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 v0 8 17 CAP
18. ITA The system will only be able to post the amounts due that are known about at the time of posting i e from last date posted Therefore if a new piece of business is input into CCD after the initial posting for that month you would have to post again to see the remuneration appear in the amounts due for reconciliation Administration gt Remunerations gt Postings Receipts i P Posting Settlements Amounts due Ik Post all renewal remunerations to create an expectation of receipt Ik Post all regular remunerations to create an expectation of receipt Ik Post all Adviser fees to be deducted from remuneration statements Ik Post all client fees due Marketing g Before commissions or fees may be reconciled the remuneration ledger needs to be instructed that items are due and this process is referred to as posting You may post commissions or fees to the ledger using the buttons above The system will search the database of holdings to determine remuneration values that are due Regular client fees can be setup under Clients gt Client account gt Fees gt Fee set up Due items can be posted or included in a quick report which can be viewed or printed The preference will be determined under the Setup area with the default set to post to the current date Setup gt Technical configuration gt Remunerations User info Admin codes Standard text Staff list Providers Products Prices Forms Batch post to
19. Policy available to Pre Process J ontract Enquiry Mapping Policy Fund Mapping Process All Entries and Exit Mary Black Investment Bond Skandia SIBO009350943 Match ni rice Lewes Unit Price Number of Units Client Policy cand FE nd Match existing fund New Fund The left hand side of the screen displays the funds unit price and number of units that have been imported 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 held click into the box for Match existing fund which will display all of the funds currently held against this policy If the fund required appears select to match the incoming fund to the already recorded fund If this is a new fund for this policy click on the New Fund checkbox If you are unsure if any of the existing funds should be matched to the incoming fund select from the drop down box and go to Detail This will give you all of the detail for 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 v0 8 7 CAPITA
20. aining licences 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 v0 8 19 CAPITA 2 8 Document Management Changes INVU and CabiNET For users of the INVU and CabiNet document management systems the functionality has been extended to allow you to add and configure additional cabinets to store documents processed via CCD CCD previously stored all documents in one Filing Cabinet but with the new changes it allows you to specify different cabinets for each area of CCD you scan from This would also be useful if you wish to restrict access to certain document management cabinets within INVU or CabiNet Scanning areas specified in CCD are e Clients e Advice e Holdings e Scheme e Compliance e Contacts e Advisers In relation to John Smith I want te Ik Scan a paper document that I held Ik Attach an electronic document IF Assign a document from my InBox When attaching documents record it as type It Edit Description of the document Document date 16 12 15 if blank It Search for a scanned document stored for this client Document management software howa couce O Cause afii
21. aluations gt Bulk aluations Individual Funds Ik Get Manual Valuation Template Navigate to the saved spreadsheet and open The spreadsheet will be automatically imported and displayed in Updates gt Received as a standard Contract Enquiry message 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 v0 8 5 CAPITA 2 1 2 Mapping This area has been completely reworked to provide you with a clear interface to map the data received at a Client Holding and Fund level Once the request has been successful a pop up message will appear on screen informing the user that a contract enquiry message has been received 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 Within the Received data section the message is waiting to be processed Select the message and view the information listed Updates gt Data updates received Data updates received and waiting processing for user ams Received data i wt mess to process from the list below LTI the data will mot b Message sender Message type
22. as been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v0 8 21 CAPITA 2 9 Auto Enrolment Updates Updates have been included to flag at a scheme and member level where the auto enrolment process has been used on group schemes Changes have been incorporated to help users manage auto enrolment on group schemes At a scheme level a flag has been introduced to show that the scheme accepts members via auto enrolment Clients Details Administration Tasks Remuneration Membership Work 7 Documents Calculators Reports Clients gt Holdings gt Schemes gt Owerview Scheme status Client Provider Product basis Product category Product type Product display name for reports On Platform Adviser Staff Scheme number Start date Date scheme expired Next renewal date Next review date Current Hambrook Financial x lk Change GPP Mev Just Retirement Limited Retirement Group Personal Pension Conventional with profit Group Personale O Auto enrolment accepted N 0587856 12 08 2014 Scheme reference 1254N351636 At a member level Auto enrolment has been added to the Advice basis list Clients Overview Product Contributions Details Administration Tasks Remuneration Work 4 Documents Calculators Reports cree amp Create a printable case completion sumis Clients gt Holdings gt Submission
23. ation will now be attached to the policy in CCD At this stage any existing funds that have not been matched will be archived automatically 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 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 v0 8 9 CAPITA If the client had not been matched during the import then there are 5 search criteria for the client 1 Surname NI Number Company Name Date of Birth Postcode wm BW N If the policy has not been matched during the import then there are 4 search criteria for the policy 1 Policy number Product Basis Product Category e UU N Scheme Name This document is the property of Capita Financial Software Ltd
24. ca eres ea alsa ae ole Gana E E E EE ETN E EE EA 24 SMOE IONS e a E E E E unto a eee eos eetuerdt erases 26 3 A A lding Table ROD ON secesesseccacaisovseparnouacectaovineccnstsanabsawsmtenesseriekeesiateasaiontdisierenearaetoeacivedsosntncboneahsesaseacnesiaerteessans 26 JLI anecon Feld Update seisseen e eE E E a 27 Ioe Nore GIGS unn E EE E T EE 28 34 Producine a COpy INVOICE screenen E EEE E E N EEEE 29 A ONR O O ONE ra E EEEE E EOE OE E E EEA TAES 29 3 6 E uifax Website Link UDO ATE sisssiserssisitsirsresssuariyaserinrossn saroe Nanana saV NEEE AISEE EENET EErEE ESENES anaE 30 3 7 Changes tothe Upgrade ROUTINE eric 30 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 v0 8 2 CAPITA 1 Introduction This document briefly describes the new features and modifications to the existing functionality of Client Care Desktop CCD It does not detail every change made to the system to improve the overall product where the functionality is the same as previous versions of the software Please refer to the CCD 4 3 2 Features and Modifications Guide for a high level overview of the key changes An additional training guide and short d
25. called CE_ImportTemplate on your desktop already Continuing will overwrite this file The column headings in red indicate the minimum information required for the manual import to work Complete the columns with the information you have and save locally 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 CE_ImportTemplate xlsx Kel CE_ImportTemplate Microsoft Excel ONLY Home Insert Page Layout Formulas Data Review View Add Ins Team a d o op 8 Em amp cut ay Lp 1 amp For E AutoSumy Ay 3 Calibri i X Wrap Text General E a E cum i Fy Sa Copy ims d _ s3 wae oo iw Fin Zt Paste B P AE o Oy Ay BB Bs H Merge amp Center v 8 399 Conditional Format Cell Insert Delete Format z Sot amp Find amp v F Format Painter sd oa a ee oa 3 i mca Formatting 7 as Table Styles 7 v v v lt Clear 7 Filter Select Clipboard Font 4 Alignment Number Styles Cells Editing N1 X fe Number of Units v A B c D E F G H 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 7 Updates gt V
26. cated to suspense 600 00 Due date 01 11 13 E Marketing Servicing Holdings 12 Create a printable invoice ase E amp Create a schedule of time charged eS ee amp Create a schedule of disbursements charged 2 Create a schedule of amounts offset Calculators Create Invoice pack in PDF format Reports Billing set up Print options 3 5 Contract Reason Objective The contract reason objective list on the holding product screen is now available as an editable value list allowing the end user to include additional values specific to their firm Clients Clients gt Holdings gt Product om Overview Add note D Application status In force Tn ntrihiutiens Contra t holde E Han 1 ib Change Details Contract reason objective Administration moe Tasks l Provider Se da Ctrl click to edit list lore Remuneration Corporate Business Personal Occupational Product basis Product category Work 0 Product General Review lata Product display name for reports Group Pension Income Expectation On Platform Is this plan a trustee investment Contract number Reports Application dated Investment of lump sum Application received Keyman Assurance Effective date Minimising inheritance tax i ie as Submission Debt consolidation Further mortgage advance Documents Increase
27. e ee Due not paid schedule by Provider by scheme Compliance O Schedule of amounts paid by Provider Schedule of amounts paid by Provider by scheme Marketing of amounts pa by business source Schedule of amounts paid by service manager G Schedule of write offs recorded within date range ror Provider Data source Commrec Report to Eq Service manager Business source Adviser Location To report on Fee income enter the word FEE instead of selecting a Provider code Write off amounts have also been included on the existing allocation report within a receipt Admin Administration gt Remuneration gt Receipts gt Receipt gt Allocated Settlements Commrec Ledger Amounts due Postings Contract holder Contract type Basis Date paid Amt Paid Smith A Cash ISA Non_indemnity 07 05 10 45 00 Reports Smith A Cash ISA Non_indemnity 07 05 10 60 00 r Marketing I a __ B Create a schedule of amounts allocated to this receipt 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 v0 8 14 CAPITA 4 Return 4 Print
28. ement systems INVU or CabiNet You should take a note of the values on the list within the Clients gt Scanned document When attaching documents record it as type as only the last value entered against a client will be displayed in this value list After the upgrade this full list will need to be populated following the instructions in this document As the editable values have to be entered individually if you have a long list of values in this field please inform our Client Care team when arranging your upgrade so that our support team can import the dropdown list back into your system post upgrade The value lists can be amended by expanding into the editable value list on each screen indicated as editable when you rollover the field Clients Clients Contact Contact Postal address Scanned docs Goals Overniew Add note Client type Individual Client Ref Title Initial Surname Mr A Test Forename Arthur Salutation arthur Qualification Honours Personal email address Arthur home co uk Work email address Arthur work co uk Ik Create security question Home LJ Do not mailshot Work Ol Do not share client data Mobile with partner Current status Prospect Client Intro date source Source TEF Introducer No introducer Evenings Employer Mornings Adviser Authorised Adviser Service manager Weekdays To amend an Editable Value Field in the current version you just navigate
29. emonstration videos are also available for the new Contract Enquiry service which can be downloaded from the Capita Financial Software website htto www capitafinancialsoftware co uk support downloads synaptic client care If you are upgrading from a version prior to CCD v4 3 1 have any specific training requirements or any general questions around the release please contact the Client Care department Tel 0800 028 0033 Email financialsoftwareclientcare capita co uk 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 v0 8 3 CAPITA 2 New Features and Modifications This section details the significant new features and updates included in this release 2 1 New Contract Enquiry Functionality As part of our move towards a more streamlined upgrade process the new Contract Enquiry functionality is available as a separate module update allowing you to take advantage of this new functionality without the need to carry out a full upgrade of CCD 2 1 1 Import This new service allows you to import Contract Enquiry valuation data provided by any UK insurer using a simple template This enables population of fund inf
30. es 0 InSadds 3221 SectLCharges 0 Insurer 2544 Salaries 12 Insurer 2763 Salaries 12 Invest 73 Scheme 3 Invest 73 Scheme 3 Archive 71 Schemeco 1 Archive 71 Schemeco 1 KPI 2 Units 0 KPI 2 Units 0 Ledger 0 Withdrawals 4 Ledger 0 Withdrawals 4 LinkSync_Messages 0 Work 76 LinkSync_Messages 0 Work 76 Log 151 WIPimport 0 Log 151 WIPimport 0 Financial Express sourced data does not get migrated and should be repopulated post upgrade via the normal integration service 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 v0 8 31
31. et Discretionary a TS oe rgs Packager please click on the icon to view details Regular Initial Consultancy Ca Created by SAM Regular One Off Consultancy eee ee Bn oll 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 v0 8 27 CAPITA 3 3 Invoice Note Fields An additional notes field has been included on Invoices to allow the end user to add notes relating specifically to the individual invoice These notes will appear on the printable invoice The Fee type is an editable dropdown list available to select on all clients The Description of the service provided field enables you to add notes to the invoice that apply specifically to that invoice Clients Clients gt Client account gt Fees gt Billing set up Billing set up Account Create invoice Client Button Jenson SE eed tas Payee for reconciliation of income Button Jenson CJ Bebtor Fee type Consulta ncy fee Policy Description of the service provided Notes for consultancy fee on this client Anticipated 18 07 14 Total invoicable items 4 Use total invoicable Actual amount of invoice excl VAT Total disbursements charged
32. for purposes other than that for what it has been supplied without CFSL prior written permission CFSL www capitafinancialsoftware co uk September 2014 v0 8 24 CAPITA Where there is only a single option left to select the system will automatically populate the data in the field allowing you to confirm and move to the next field In the example used the list reduced each time as you entered a letter entering bri reduced the list to populate a single entry of British Client Affordability Net worth Borrowing Planning Holdings Requirements Analysis Submission Holdings Client gt Fact find gt Personal gt continued Date of birth Age admitted Gender Marital status Living with partner Married to partner Date of Marriage Nationality Residency Tax Domicile Place of birth State of health Health notes Smoker Height Weight Alcohol units Hazardous sports pastimes Personal details Marital status Living with partner Married to partner Date of Marriage Nationality i 21 10 1970 21 10 1970 10 2 1970 10 2 1970 Yes Male Female Married S Married S Yes at my address B o biis S T United Kingdom the Doo o No Cigarettes lt 13 per wo fo 1 57 mtrs 800 Lbs 50 pvid Mrs 477 Kg P wde i Married Married Yes at my address Yes Date British This document is t
33. he 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 v0 8 25 CAPITA 3 Modifications This section details some of the modifications since the last release 3 1 Holding Table Report Additional fields have been included in the table of holding records within the administration reporting area to enable you to query more data New fields include e Product Basis e Mortgage basis e Mortgage Special requirements e Mortgage Evidence of earnings Administration gt Reports Remuneration Reports manager Create on screen and printed reports Diary Use the report headings in the left navigation or the wizards below Enquiries New business Remunerations Reviews I want to Time recorded Compliance Ik Report on new business currently being processed Ik Report on the status of enquiries and identify missed opportunities Marketing amuneration and fee income Ik View table of scheme records Ik View table of holding fund records Ik Create reports to help me complete a regulatory return This document is the property of Capita Financial Software Ltd CFSL and the information contained herein is confidential This docu
34. ice type analysis Schedule of clawbacks recorded Appointed representatives Analysis of non investment insurance premiums Annual income report Adviser charge revenue Consultancy charge revenue Expenditure remuneration and fees paid Split of paid business by product class This excludes Section J for this release as the report will need to be reworked to enable the figures to be broken down by location Currently reports at system level As an interim solution the split of paid business report by product class should enable the FIRM to produce the figures by location for this release 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 v0 8 13 CAPITA 2 4 Write Off Report A new remuneration schedule report is available within the administration area to display the remuneration amounts written off during the reconciliation process Admin gt Reports gt Remunerations gt Schedules Schedule of write offs within date range Admin Administration gt Reports gt Remunerations Diary Ineratior ees Fund based Aged debt reports Enquiries New business Due not paid schedule by Provider Reviews n
35. ment 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 v0 8 26 CAPITA 3 2 Transaction Field Update The values in the Transaction field within a remuneration record will display all remuneration types allowing the user to amend the value within the record Clients Clients gt Holdings gt Remuneration gt Transaction Overview Contract status In force Eii Date posted 25 04 14 Transaction imtal RSP ne Product Provider _1st Policy Company Limit Initial Initial Adviser Charge Contributions Ren ee eel AE E tae Ce eee E TEEPE Initial Initial Consultancy Cha Contract l nit Linke B Tasks pple Wee Initial One Off Consultancy Ca Contract holder Button J Submission Location Bishops Stortford Initial Indemnity T Posted a SP Apply VAT Remuneration basis RSP mmm Amd Initial Fund based Work oO ee nee O amn ae VAT Rate i20 Se ee ee ee Initial Procuration fee peepee Be VAT 0 00 Amount due 120 00 Q Trd Initial Fe Calculators Due date 28 04 14 JEJ EE ES Earnings period 7 P months Staten Initial Adjustment Amount posted 120 00 Date p Initial Net rates lewy Suspense 120 00 Estimated payment date 28 04 14 me ics Regular Initial Adviser Charg If a provider has been selected on a Fund Supermark
36. ormation en masse saving hours of time and effort The insurer does not have to be a recognised Origo or Contract Enquiry valuation service provider therefore import of fund information at a contract level from any Platform Discretionary Fund Manager or SIPP provider can be actioned Not all providers offer contract enquiry but do supply you with a spread sheet 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 Updates Updates gt Valuations gt Bulk Valuations Individual import wakalia data hie Import valuation spreadsheet Ik Get Manual Valuation Template Quit Click on the link Get Manual Valuation Template 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 v0 8 4 CAPITA If you have previously saved the template to your desktop the following message will then appear You have a file
37. ound Detail potchref SM117 04 201412 02 02 responder_id Insurer CCDProviderCode contract_number case_reference_number fund_name SK OM Voyager Di fund_sedol_code FE Funds Skandia Prof OM Voygr Divfd Pn rovider Skandia nt Type Collective Investment Sub Type UK Pension Fund Currency Code GBX Search key 1 Fund Name 2 Citicode 3 Sedol 4 MexID Search text unit_holding_type Accumulation unit_currency unit_price_ date 2014 04 177T12 01 35 number_of_units number_of_units date 2014 04 17T12 01 33 value_of_units value_of_units_currency GBP Pre 1997 Post_1997 Citicode Skandia GBP OM Gbl Strt Bd IRL EUR Provider Skandia Life Assurance Company Limited Provider Fund Name e Collective ype Offshore Insurance cy Code EUR Skandia GBP OM Gbl Strt Bd IRL GBP Provider Skandia Life Assurance Company Limited Provider Fund Name Investment Type Collective Investment Sub Type Offshore Insurance Currency Code GBX fe die COP One coh A Md r fee Data updates Show Un matched only Process All Entries and Exit Record 1 outof 2 lt gt 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 inform
38. rade will be displayed to enable you to validate that the database files have been successfully upgraded and no records have been lost Detailed instructions on how to run an upgrade can be found on the Downloads section of our website under Installation Notes The Financial Express data is not part of the migration therefore please run a Financial Express update once the upgrade is complete to populate the latest fund information in your system 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 v0 8 30 CLIENT CARE DESKTOP UPGRADE Source CCD4_0141 Process Started 19 09 2014 11 28 53 Imports Started 19 09 2014 12 22 11 Data updates started 19 09 2014 12 24 02 Tapi CCD4 0178 Process completed 19 09 2014 12 25 40 Imports completed 19 09 2014 12 23 58 Data updates completed 19 09 2014 12 25 40 SOURCE RECORDS TARGET RECORDS Advice 35 M4Advisr 5 Advice 35 M4Advisr 5 Agencies 0 Splits 36 Agencies 0 Splits 36 Analysis 29 M4breach 0 Analysis 29 M4breach 0 Archive 15 M4cpdlog 0 Archive 15 M4cpdlog 0 BatchMaster_Update 0 M4cplain 1 BatchMaster_Update 0 M4cplain 1 Batchmembers 0 M4dicipn 0 Batchmembers 0 M4dicipn 0 Cheque
39. s 15 M4docs 2 Cheques 15 M4docs 2 Clients 55 M4refrnce 0 Clients 55 M4refrnce 0 Clients_Goals 2 Manager 413 Clients_Goals 2 Manager 413 CommMatching 0 ADV_Locations 411 CommMatching 0 ADV_Locations 411 Commrec 93 Reviews 413 Commrec 93 Reviews 413 _temp_commission_splits 1031 AdviceTypes 0 __temp_commission_splits 1031 AdviceTypes 0 Invoice 0 SystemPrefs 1 Invoice 0 SystemPrefs 1 Offset 0 Goal_List 3 Offset 0 Goal_List 3 VAT 0 Marketing 5 VAT 0 Marketing 5 Contacts 9 mreport 7 Contacts 9 mreport 7 Commission Basis Deductive 8 OTP_Import 0 Commission Basis Deductive 8 OTP_Import 0 Credit 0 OTP_Mappings 0 Credit 0 OTP_Mappings 0 Devel 0 Pad 462 Devel 0 Pad 462 ECommArc 0 Preferences 1 ECommArc 0 Preferences 1 ECommin 0 Cabinets 0 ECommin 0 Cabinets 1 Employees 0 ClientServicing 0 Employees 0 ClientServicing 0 EReceipt 0 Language 3 EReceipt 0 Language 3 Factfind 20 Invu 0 Factfind 20 Invu 1 ChildTrust 8 Networks 20 ChildTrust 8 Networks 21 Fees 9 PasswordHist 0 Fees 9 PasswordHist 0 Firms 2 Sections 0 Firms 2 Sections 7 Fund 110063 ValueListMembers 0 Fund 20 ValueListMembers 1107 Fund_Allocation_Detail Premcomm 216 Fund_Allocation_Detail Premcomm 216 Fund_Allocation RMARreps Fund_Allocation RMARreps ProviderCodeMap 0 SectK_Charges 0 ProviderCodeMap 0 SectKCharges 0 InSadds 3221 SectL_Charg
40. up refresh ODBC data source Ik Update client types Editable value lists 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 v0 8 12 CAPITA 2 3 Compliance Reporting by Branch Regulatory reports within the Compliance section have been extended to allow reporting by branch location if required Within the Compliance gt Reports gt Regulatory area select the branch or location from the list in the Location field and click on the report you wish to run Management Adviser list gt Reports gt Regulatory Regulatory reports ralent RMAR section Bi Regulated Business Revenue B2 Other revenue B2 Income from other regulated activities G Training and competence G Advice types G COB data Clawed back remuneration H COB data Appointed Representatives I Supplementary product sales data J Annual income report K Adviser Charge Revenue L Consultancy Charge Revenue Expenditure Split of paid business by product class tEEEEEEEEEEEE Regulated business revenue Non regulated business revenue Income from other regulated activities Current Adviser status TEC Adv
41. urce Contract No Overview Product Contributions Administration Details Tasks Remuneration New Business Action Status Business source Submission Work 4 Current position outstanding action Ctrl click to edit fi Proposal to Client Adiw J Auto enrolment Client made contact Documents Application received Application dated Submitted date Intended effective date Service manager for this case Calculators Client recommendation Client referral Reports Client relative Cold calling Consultant self generated New business record complete Direct offer financial promotion 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 v0 8 23 CAPITA 2 10 List Data Entry We have introduced some additional standard lists to the system which you will see in areas such as Nationality Residency and Tax Domicile Client Client gt Fact find gt Personal gt continued John Alice Affordability Date of birth 21 10 1970 21 10 1970 10 2 1970 10 2 1970 Net worth Age admitted Yes Borrowing Gender Male Female Marital status Married Married
42. vigate to your saved document Click open and your licences will be automatically updated Setup gt Software licence User licence Your Product Licences aa Products in red are about to expire and products in grey have already expired Quay product Licensed to Client Care Desktop 4 Capita Financial Services Limited 20 O2 01 2013 02 01 2016 x Client Care Desktop EDI Capita Financial Services Limited 18 02 01 2013 02 01 2016 x Client Care Desktop Capita Financial Services Limited 1 02 01 2013 02 01 2016 x Client Care Desktop 4 Fact Capita Financial Services Limited 20 02 01 2013 02 01 2016 x Client Care Desktop Group Capita Financial Services Limited 2 02 01 2013 o2 01 2016 x Modular Website Client Capita Financial Services Limited 1 O2 01 2013 02 01 2016 x Financial Express Price Feed Capita Financial Services Limited 1 O2 01 2013 02 01 2016 x Client Care Desktop EDI Capita Financial Services Limited 1 02 01 2013 01 02 2016 x Client Care Desktop 4 Capita Financial Services Limited 4 02 01 2013 01 02 2016 x Client Care Desktop 4 Capita Financial Services Limited 4 02 01 2013 01 02 2016 x Q Tell me how to license re license the software Add Licences Quit If your licence has expired you will need to paste the first licence into the system manually using the old process in order to enable the Add Licences button Once enabled you can follow the process above to open your licence document which will update the rem
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