Client Management - File Notes: Create Notes - Individual Client

Client Management - File Notes: Create Notes - Individual Client

Individual Client Overview

To comply with your Licensee’s record keeping requirements, XPLAN Notes are to be used for the storage of all documents and client file information in line with the Digital File Management framework.

XPLAN’s Notes functionality will help you manage and keep track of activities relating to your clients (such as the delivery of services), and the documents presented or delivered to clients can be attached. Notes can also be created after client telephone calls and meetings to record important details that were discussed.

What’s more, if there is an item in the Note requiring action or follow-up, you can create a Task from the Note and assign it to yourself or someone else in your Practice. To find out how, in Zoho go to Create a Task from a Note.

When creating Notes for your clients, Note templates can be used to pre-populate text and settings, such as the Subject and the details of the Note, and the Note Type and Subtype selected in line with the File Note Framework. To learn more, in Zoho go to Create a Note Template.

Notes can be created for individual clients and for groups of clients in bulk. For step-by-step instructions on how to create a Note for a list of clients, in Zoho go to Create Notes: Bulk clients.

 

Where can I get help or further information?

To find out more about the Digital File Management framework, in the XPLAN Hub go to Notes, emails, tasks & threads:

If you require further information or have any questions regarding Wealth Axis’s Digital File Management framework, policies and procedures, please contact your Practice Manager or Practice Implementation Manager.

 

Create a Note for an Individual Client

To create (or add) a Note for an individual client:

  1. In the search box of the Title Bar (at the top right-hand corner of the screen), ensure the Clients option is displayed.

    • To change this option, click on the down arrow icon on the left-hand side of the search box and select Clients
  2. Enter the client’s name in the search box and hit ENTER (or click on the magnifying glass icon).

  3. Locate and select the master client (or entity).

  4. In the Client Menu on the left-hand side, click Notes:



  5. Two panels will be displayed:

    • Document Filters: Enables you to search your client’s existing Notes using certain filters such as Type, Subtype and Date Range, and even keywords from within the body of your Notes.

    • Document List: Displays all Notes previously recorded for your client.

  6. In the Document List panel, click Add (in the top right-hand corner):



    If using a Note template:
  7. Click Template (in the top right-hand corner) and select the required Note template. This will pre-populate the fields and text box for you automatically.



  8. Edit/update the Note details, as required.

  9. To store attachments with the Note, refer to Step 15 below.

    If not using a Note template:
  10. Select the appropriate Type and Subtype from the File Note Framework for the ongoing advice service, client document or file note information being recorded or stored.

    • If your Practice has selected service tracking as the preferred method for reporting the delivery of ongoing advice services on your clients’ FDSs, please refer to the Important points to note for FDS service tracking below

  11. Select who the Note is to be available to in your Practice:

    • Shared with specific groups: To be shared with selected User Groups

    • Shared with my groups [default and recommended option]: All of your Practice (User Groups) can access the Note

    • Shared with client’s Groups: When a Note is linked to a client, this option gives access to anyone in your Practice (User Group) that the client belongs to

  12. Change the Date, if required.

    • This should be the date the service was delivered to the client (as per the Digital File Management Guidelines). For example, when the Statement of Advice (SoA) or Fee Disclosure Statement (FDS) was presented or delivered, or when the client meeting was held.

  13. In the Subject field enter a short summary or description for the Note.

    • This field is indexed for searching using the Document Filters

  14. Enter detailed information in the text box, as required.

    • This information can be formatted as required



  15. To store attachments with the Note:

    • Select the Attachment tab.

    • Click Upload File.

    • Browse for and select the document(s) to be uploaded, and click Open.

      Files uploaded to the Note should be the final versions of the documents presented or delivered to the client. The filenames of key documents must also be in line with the Naming Convention. For further information, refer to the Digital File Management Guidelines.



  16. Click Save and Close.

  17. To create additional notes for the client, click Add and repeat Steps 7 to 16 above.

Notes:

  • If the Note is to record the delivery of an ongoing advice service to your client for Fee Disclosure Statement (FDS) disclosure, select the correct FDS-related Note Type and Subtype from the Service Package Offer Matrix. If your Practice has selected service tracking as the preferred method for reporting the delivery of ongoing advice services on your clients’ FDSs, this will ensure the ongoing advice service will be correctly disclosed on your client’s FDS when it is merged (or generated) at the end of their service arrangement period.

  • If the Note does not relate to an ongoing advice service to be reported on your client’s FDS, use an alternative Note Type and Subtype from the File Note Framework.

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