XPLAN and the Advice process

Introduction

Overview

Many advisers use the Advice to Client process to manage the advice process in their business.

To enable participants to be able to relate to the different modules in XPLAN, this course is structured along the line of the Advice to Client process.

XPLAN and Financial Planning

The components and tools in XPLAN have been created to support and complement the process of providing quality and efficient recommendations to clients.

Navigating XPLAN

XPLAN

Overview

XPLAN is a web based financial planning software package that brings together the different stages in the advice process through the use of a number of modules and tools.

XPLAN enables delivery of advice to clients through integrated client management, modelling and portfolio management tools and applications.

The facilitator will demonstrate and take you through each of the modules and tools, and explain their function to you.

Logging into XPLAN

Overview

To login, access your designated website by typing in your website address: https://xplan.iress.com.au//(your company’s site) or https://xplan2.iress.com.au//(your company’s site) or https://xn--(your%20companys%20site)-kd9n.iress.com.au/

1. The login page for your website is displayed
2. Enter your User ID and Password and click .
   
   

XPLAN Components

Client Focus 

A comprehensive Fact Find and Client Relationship Module. This is where client data is entered.

Underlying these functions is the task management capability, which is designed to support the workflow process within a business. 

XPLAN CRM Office Features 

A suite of tools which not only provides users with standard document templates but also the functionality to build customised templates.

These tools provide the ability to manage the templates as well as to merge data from the system into the templates. 

XTools 

A suite of tools which can be used for projection and analysis. Some of the calculators can be used in a client facing situation. 

XTools+ 

XTools+ is a powerful modelling tool that can be used to model and compare cashflows and projections. 

IRESS Portfolio System (IPS) 

IPS is used to manage and provide reporting on client portfolios. 

Risk Researcher (Formerly known as IQM+) 

A fully interactive risk research tool that provides both qualitative and quantitative analysis for personal risk insurance products. 

SuperSolver 

A superannuation comparison tool that provides product specific comparisons of costs and intangible plan features. It provides data on hundreds of retail, industry, government and corporate superannuation funds, and allows for the creation of new plans or deriving new plans from existing plans. 

Debt Qualifier 

It is a mortgage-qualification and analytics system. It provides a single point solution for Debt and Risk Management for existing and new clients. 

Navigating the Xplan Interface 

The XPLAN interface is composed of three areas, the Title bar, the Navigation menu, and the current Page. 

Title bar 

The title bar contains a number of links and functions, and is always displayed.

Home, Add and Quicklinks lists: 

Home – This button name can be customised and the default name is XPLAN from v2.1 onwards. It contains links to your User Dashboard, News and administration and module functionality (depending on your User Capabilities only some links may display)

Add - allows for creating a new:

Client

Group

Professional Adviser

Referrer

Supplier 

User

Diary Event

Note

Task

Thread. 

Quicklinks - a customisable list where you can add links that you frequently access. All links in the XPLAN list can be added as Quicklinks. 

Icons 

 Notification messages are commonly generated by XPLAN when a report has been generated. The number of unread notification messages displays beside the icon: 

  Open a Time Taken Ticker.

  Access XPLAN Help.

  Access your Preferences.

  Logout from XPLAN.

Searching 

The Quick Search box allows you to search for entities, notes or tasks.

Navigation menu

The navigation menu displays on the left of the currently accessed Page. It allows for navigation between modules and within the current module. When using a Wizard, the navigation menu can also display the pages within the Wizard, allowing you to move between pages as required.

From v2.1 the ‘Home’ navigation menu no longer displays – Click on the XPLAN button for the ‘Home’ menu.

Hiding the navigation menu:

You can collapse and expand the navigation menu by clicking the expand/contract button: 

When collapsed, the current page expands horizontally to fill your web browser.

Page

The current page displays in the Page area. 

Client name - when a client has associated entities, such as a companies, trusts or SMSF, you can click the client's name and select an entity to access it. 

Control buttons - buttons for the current page, such as for editing fields or moving between Wizard pages, are always located on the top-right.

Panels - some interface elements display as panels. Each panel is controlled by panel buttons. Like pages, panels can also have control buttons for editing the data within the panel.

Panel buttons - each panel has its own control buttons. Depending on the functionality offered by a panel, some or all of the following buttons may display: 

  Hints & Tips

Dashboard is the default ‘home’ screen to load. To navigate back to the ‘home’ screen, just click
on the site logo. You can also open additional windows by holding down the ‘Shift’ key and click
on the logo. ‘Ctrl’ and click will open new tabs. From v2.1 News is no longer in the navigation
menu, but a dashboard tab. 

There is no more ‘right click’ function as in previous versions, so Xplan is now usable on
touch screens like iPads - everything is dropdown menus.

Getting Help

Overview

XPLAN has an Online Help function which provides the most up to date information on the
different components and tools in the system. Interactive Tutorials are also available for
viewing Training Workshops.

The Help files also provide updates on all new software versions.

Accessing Help 

1. Click on the Help function located on top of the Title bar
   
   

2. The “Help” screen is displayed

3. Navigate using the menu bar located on the left.
   
   

4. You may also want to use the “Search” function available.

Accessing Interactive Tutorials from within the Help Files 

1. Select “Video Tutorials” followed by “Training Workshops” from the menu bar located on the left:

   

2. Click on the workshop you would like to view.

3. A video will start automatically with a chapter menu available from the left side menu bar.

Creating a prospect / new client 

Introduction 

Each practice deals with leads, referrals and potential clients differently. However, most practices have a system regarding the way client information is recorded and relationships with clients are managed.

In this section, we will learn how a new client is created in XPLAN 

Scenario 

Robert from the law firm next door has referred Dylan and Jackie Manilow to your as potential clients. He has given you some information about them.

As they are potential clients, you have decided to create them as new clients in XPLAN 

Client Details 

  Activity: Creating a new client

Work with the facilitator to enter the client’s details. 

(In order to differentiate the client you created, use your own surname when you enter the client’s name): 

1. On the Title bar, click on the “Add” button and from the dropdown select Add Client.
   
   
   
   
2. The “New Client” page is displayed:
   
   
   
   

3. Select “Individual” and click .

4. In the “Basic Information” screen, enter the prospect’s details.
   
   

5. To enter Jackie’s details, tick ;

6. In the Category field, scroll down and select “Prospective”;

7. To enter contact details, click ;

8. Enter Dylan and Jackie’s contact details and click ;

9. Dylan and Jackie have been created as new clients in XPLAN. Click on the  button to view the details you have entered.

Summary 

You have: 

• created a new client entity

• created a new partner client entity

• used an Add Client wizard.

  Hints & Tips

• To navigate between pages, use the  and  buttons. Changes are saved automatically.

• In the default Add Client wizard the required details for a new client are:

  • Surname

  • First Name

  • Gender
    
    While the required fields can be changed when creating a custom Add Client wizard,
    it is recommended that the minimum requirements to create a client are the client’s
    first name, surname and gender.

Client Management 

Scenario 

Dylan and Jackie have been created as clients in XPLAN. Robert Law (referring solicitor) has told you that they wished to be contacted in 2 weeks for an appointment to meet an adviser.

As per your normal practise, you want to ensure that someone in the business will ring the clients to arrange the appointment. 

  Activity: Creating a Task

You have decided to allocate this task to yourself.

We will assume that you are not currently accessing the client’s file, and will use XPLAN’s quick search function to find them.

The quick search box is located on the far right of the application menu. 

1. In the quick search box, make sure that the Clients choice is selected. You can change the entities that are searched by clicking the icon and selecting the entity type:
   
   

2. Type in part of the client’s name. In this case, we will search your client  . Hit the ENTER key.

3. The Search Result page displays, listing all found clients.
   
   

4. Click the name you want, Dylan. The client information of Dylan and Jackie displays.

5. On the navigation menu select Admin > Tasks.

6. Click .The Edit Task screen displays for a new task.

7. From the Templates list, select the Call new client to make appointment template. This will fill in some text and settings for the task. If no template is available then enter the details manually.

8. Set the Due Date to 2 weeks in the future. You can click  to display a calendar.

9. In the Assigned To area, click Assign to me to assign the task to you.

10. Click on the  tab, to enter the outcome of the phone call made to the client. There will be two outcomes from the Task.

    • One – the client will come in for a meeting with the Adviser, so we will need to create a Diary Event for the Adviser as an action to be taken.

    • Two - the client does not want to meet with the Adviser, in this case we will create a File Note to record the same.

11. Edit the default outcome ‘Complete Normally’ and Add the second outcome. To add an outcome click on .

12. Enter ‘Wants Appointment’ as the name of the outcome we are creating.

13. In the Action section select Add New Diary. Click on .
    
    

      Activity:

    Work with your trainer to create another outcome for the client, in the event that Not Interested is to be made and a File Note is to be created. You can also reset fields e.g. Change [Key Details] Category to Archived. 

14. Click Save to save the task.

 Activity: Accessing and Completing a Task

Once the task is created, we assume that you have contacted the clients and they have accepted the offer of an appointment. Now you need to complete the task: 

1. On the Title bar click on the XPLAN button and select Diary & Task then select Task. The task manager displays.

   
   
   
   This link, as with all links on the application menu, is available from all areas within XPLAN.

2. If you are not currently on the Tasks to do page, on the navigation menu click Tasks to do.

3. Displayed tasks can be filtered by task type and date range. Adjust the filtering to display the task you created previously e.g. All Incomplete then click on Search.

   

4. In the Status column, select Complete. (Or if the prospect is not home when you tried to phone you may select Actioned and add a comment). The Status dialog box displays.

   

5. In the Outcome list, select Wants Appointment. You can also enter a Comment and the Time Taken for the task. This information can be used for management reporting.
   
   

6. Click OK.

 Activity: Creating a Diary Event

When you select Wants Appointment as your Outcome and click OK you will be directed to Add Diary Event screen. Here you will create the Diary event for the Adviser. 

1.  Fill out the following details for the diary event:

   • Title – New client appointment

   • Description – a description of the event

   • Category – select Meeting

   • Start Time – select 10:00am

   • End Time – select 11:30pm

2. The Participants section list will display the clients name as this diary event screen has opened from Client Focus.

3. Go to Notifications tab and select the recipients.

4. Click Save. The new diary event will display in the diary.

 Activity: Creating a New Diary Event

Work with your trainer to create a new Diary Event from the Dairy: 

1. On the Title bar click on the XPLAN button and select Diary.

2. The Diary can be viewed either in Month, Week or Day format.

3. The month can be changed by either clicking the arrows next to the month name or using the filters section.
   
   

4. The Diary menu has 2 main areas; My Diary and All Diary. My Diary displays all XPLAN Diary Events for you. All Diary allows you to view other XPLAN users Diary Events (subject to permissions).
   
   
   

   If other User’s Diary events are not presently viewable, click on the dropdown button next to “current participant” to search for and add other Users or your Group.

   

5. To add a Diary Event click in the date box and select Add New Event.

   

6. Complete the details for the time and place for the Diary Event.

7. The Attendees and Client tabs are used to define who will be attending the meeting. This can be either an employee of the practice (User) or a Client.

8. The Notifications area dictates who will be notified by email of the creation or changes to the Diary Event.
   
   

9. Select Save.

10. Details relating to the Diary Event can be seen by clicking on the event as well as access to the client’s menu.
    
    

Summary 

You have: 

• searched for a client

• created a new task or

• used a task template

• accessed the task manager

• accessed an existing task

• completed a task

• accessed your Diary

• created a Diary event.

Case Study - Dylan & Jackie Manilow 

Introduction 

In the first meeting, the adviser collects relevant information from clients. This information is then used to formulate appropriate recommendations.

In XPLAN, client information is entered in Client Focus. These details are then transferred to other components, such as XTools+ and Risk Researcher and are used to craft appropriate financial planning and risk recommendations. 

The Clients 

The clients for this case study are Dylan and Jackie (Manilow). They have 2 young children and want to ensure that the kids are taken care of.

They also wish to ensure that they are investing correctly and are getting the optimal returns for their funds. 

Client Details 

Fact Find Details: 

Client Details 

Employment Details 

Additional Information 

Risk Profile 

Lifestyle Assets 

Liabilities 

Superannuation 

Income and Expenses 

Insurance – Held Under MLC Super 

Total Premium $350pa.

Family Trust Details 

Financial Assets for IPS 

Client aims 

• To save some money for the children’s education – they envisage that they will need $10,000 a year for 5 years for each child

• To ensure that their superannuation fund is invested and managed appropriately

• Tax effectiveness both within and outside of their superannuation is important to them

• To achieve wealth through geared investments

• To ensure that the children are taken care of should anything happen to them

• Dylan has indicated that he is interested in getting some income protection cover

• They have decided that at this point in time, they will not require any insurance for Jackie.

Entering Client Information in Client Focus 

Introduction 

In this section, you will learn how to enter a client’s personal information into Client Focus. 

Scenario 

You have created Dylan and Jackie as clients in XPLAN. You will search and locate them, then enter all their details. 

  Activity: Searching for a client

1. Find your client by searching in the Quick Search box as before, or you can click on Recent and select the client and the navigation screen you want.

   

2. Select your client, Dylan. The client information of Dylan and Jackie displays.

 Activity: Editing a client’s personal details

To edit the clients personal details: 

1. In the navigation menu select Key Details > Main. The Personal Details screen displays.

2. Click  on the right hand side of your Xplan Key Details screen.

3. Enter the remaining personal details that were not entered when setting up the client’s accounts:

   • Date of Birth

   • Marital Status

   • Nationality

   • Tax Resident Status

   • Salutation and Address Title

4. Click Save.

 Activity: Editing a client’s contact details

Some basic contact information was added when the clients were initially entered into XPLAN, through the ‘Add New Client’ Wizard.

To modify a client’s contact details: 

1. While accessing a client, on the navigation menu select Key Details > Contact.

2. The following actions are available: Add, Edit  or Delete 
   
   

 Activity: Editing a client’s employment details

To enter the client’s employment details: 

1. On the navigation menu select Key Details > Employment
   
   

2. Click Edit again located on the top right hand side of the Employment page.

3. Enter the provided employment information for each client.

4. Click Save.

 Activity: Uploading a Client’s Identification information

1. Move to the Key Details > Identity Check screen in the navigation menu.

2. Use the  icon to upload the I.D you have viewed for the client, then click .

3. A pre coded IFSA Identification Form can then be downloaded using the  button. 

 Activity: Entering the Client’s Risk Profile

1.  In the navigation menu, locate and select Risk Profile and then Investment.
   
   

2. Click Edit located on the top right hand side of the page.

3. In the Investor Profile field, scroll down and select Balanced for both Dylan and Jackie, then click on Update from client profile:
   
   

4. Click on Save.

  Hints and Tips

• If you have The IRESS Risk Profiler as a risk-tolerance measuring tool. This is utilised as a
  questionnaire designed to assist Financial Advisers in assessing a client’s financial risk
  tolerance.

 Activity: Editing a client’s assets and liabilities

To enter the client’s assets and liabilities: 

1. On the navigation menu select Financial > Balance Sheet

   

2. Click  for an Asset. The nature of the account will determine whether it goes in Client Focus or IPS, but do not put in both.
   
   

3. Set the following details for the ANZ bank account:

   • Type – Liquid Assets

   • Sub-type – Current Savings

   • Percentage Ownership – set both to 50%

   • Market Value - $10,000

4. Click Save.

5. Click Add for an Asset again.

6. Add the following details for the primary residence:

   • Type – Real Estate

   • Sub-type – Primary Residence

   • Real Estate Type – Lifestyle Asset

   • Percentage Ownership – set both to 50%

   • Market Value - $700,000

7. Click Save.

8. Click Add for an Asset.

9. Add the following details for the home contents:

   • Type – Lifestyle

   • Sub-type – Household Contents

   • Percentage Ownership – set both to 50%

   • Market Value - $40,000

10. Click Save.
    
    

11. Click Add for a Liability.

12. Add the following details for the home loan:

    • Type – Long Term

    • Sub-type – Primary Residence Mortgage

    • Percentage Ownership – set both to 50%

    • Outstanding Balance - $250,000

13. Click Save.

 Activity: Editing a client’s superannuation details

To enter the current superannuation holdings for the clients: 

1. On the navigation menu select Key Details > Super. The superannuation page for Dylan displays.

2. Click Edit.

3. Here you can edit basic details for Dylan’s superannuation. Set the Employer Contribution Rate to SGC.

4. Click Save.

5. Scroll down the page and click Add for an Existing Fund to add in the client’s existing super fund.

6. Enter the details for Dylan’s superannuation. At a minimum, you should enter:

   • Fund Name - MLC Super Horizon 4

   • Taxable – 125000

7. Click Save. The MLC superannuation fund is added to the list of Dylan’s super funds.

   Click  at the top right corner of the page to add in Jackie’s Super details.

8. Repeat steps 2-7 for Jackie, who currently has two superannuation funds.

 Individual Activity: Adding a Clients Trust to XPLAN

In Xplan, a client may have a Trust, SMSF or Company also in the database. For convenience Xplan has the functionality to group these entities to the main client.

Work with the facilitator to create the Trust: 

1. On the Title bar click the Add button. Then select Add Client.
   
   

2. Select Trust as the Client Type.

3. Click . The Basic Information screen displays.

4. Enter the Trust’s details.

5. In the Category list, scroll down and select Prospective.

6. Click . The Contact Details screen displays.

7. For the Trust’s contact details we will use the client’s contact details and link later. Click .
   
   The Trust has been created as a separate entity to the clients in XPLAN.

8. Click  to display the Trust’s details.

  Activity: Linking the Trust to the clients

Entities that have their own XPLAN files, such as Children, Trusts, SMSF’s, or Companies can be grouped with a client. Grouped entities are displayed together in areas such as IPS, to allow for quick access between each entities’ portfolio.

To link the Trust to the client’s file you need to be within the main entity’s account details. 

1. While accessing the client (Dylan), select Groups > Client Group in the navigation menu. Client Groups management displays.
   
   

2. Click on . Now click on the  icon next to the client’s name to add relationships. A pop-up box will appear to select the relationship – select Trust.

   

3. Now click on  dropdown to search for your trust. Type in the name you want to search then hit the Enter button.
   
   

4. Select the searched entity and click on OK. The Trust is selected so now click on OK to save it.
   

   

5. The client group will now show. Tick the box next to the Trust. Then click on Save. This gives you control over group membership.

   

Summary 

You have: 

• searched for a client

• edited a client’s:

• personal details

• contact details

• employment details

• superannuation details

• assets and liabilities.

• Created a new entity & attached it to the client’s file.

Entering Existing Insurance 

Introduction 

Details on a client’s existing insurance coverage can be recorded in their client file.

Scenario

According to the Client Details given previously, Dylan has the following existing insurance coverage: 

•  Dylan has Life and TPD coverage through his MLC super, valued $100,000 each.

We will add this to Dylan’s client file. 

Insurance 

1. To enter Dylan’s Term and TPD cover held within his super, in the left Navigation Menu, scroll and locate Insurance > Existing. On the Sub-section menu below click on ‘By Policy.’
   
   
2. As Dylan owns the Policy we will use the Add button to the right of the Policies heading to enter details of Dylan’s insurance policy.
   

   

3. This area is for adding Insurance Policy details. Use the case study information to add in these Policy details.

4. To add in the cover details within the policy we scroll down to the bottom of our policy details page and locate the cover details area, see below. Click on the  button to the right of screen to expand that cover.
   
   

5. The click on  to add the cover details.

6. Work with your facilitator to enter in Dylan’s Life and TPD Insurance. You should have both the Life and TPD cover as per below. You need to save each cover.
   
   

7. Back at the policy screen click on Save at the top of page to fully save the client’s policy details.

Summary

You have: 

•  Entered the client’s existing Life and TPD covers into XPLAN

Entering Client’s Portfolio Assets (IPS) 

Introduction 

The Iress Portfolio System (IPS) allows you to record investment securities and funds held by clients. In this section, you will learn how enter the client’s existing financial assets into IPS. 

Scenario 

You will access IPS, create a new subfund (service) and enter the client’s currently held investments/ financial assets. 

Subfunds 

Subfunds can be used to group investment holdings. For example, if you have a group of securities that you manually rebalance once per year, these could be placed into a subfund to separate them from securities that are actively traded.

All entities within XPLAN have a Default subfund. While this can be edited, it cannot be renamed or removed. 

  Activity: Setting up a new Subfund

While accessing a client: 

1. On the navigation menu select Portfolios (IPS) > Portfolio > Position. This shows the client’s current position.
   

   

2. Further down the navigation menu select Admin > Cash & Subfunds.
   
   

3. Firstly select the entity that you want to set up the subfund for by clicking on the client name dropdown. We will select Dylan.
   

   

4. Click  on the top right hand side.
   
   

5. Set the following settings:

   • Subfund – enter the name for the new subfund. In this example we have called it “Investments.”

   • Include in Corporate Actions – ‘Allow application’ (this defaults to ‘Deny application’ in the case of a platform/ when datafeeds apply)

6. Click OK. The new subfund displays in the list of Portfolio Subfunds.
   
   
   
    Activity: Adding existing holdings
   

   While accessing a client:

7. On the navigation menu select Portfolio > Position. The current Portfolio Position displays.

8. Click  on the top right hand side.
   
   

9. The Purchase Transaction screen will now appear. Select the subfund that you want to group the security into.
   
   

10. Now click on search button. 

11. Enter part of the security name. For Dylan’s Telstra shares, enter Telstra. In the security type dropdown list below select Equities.
    
    

12. Click . A list of found equities displays.

13. Select Telstra by clicking on the investment next to the Exchange code of ASX. Once selected the Investment Code and Exchange for the security purchase are automatically entered.
    
    

14. Enter the following details for the purchase of Dylan’s Telstra holdings:

    • Sub Portfolio – Select the subfund you created

    • Transaction Date – 15/05/2005

    • Tax Date and Settlement Date – once the Transaction Date is entered, click in the Tax Date text box to automatically enter the corresponding Tax and Settlement Dates

15. In the Units Added textbox enter 1000 for the 1000 units purchased.

16. Click on the icon next to the Gross Amount of the transaction to download the historic trading price for the transaction date and to calculate.
    
    

17. Click . Additional details for the holding displays.

18. For the Reinvestment Percentage enter 100%.

19. Click . The Portfolio Position displays with the new holding.

20. Repeat steps 2-12 for the BHP holdings.
    
    

 Hints and Tips

• Enabling Corporate Actions for a subfund allows for holdings to be updated by Xplan when an event has occurred. Such events can include income distributions, share purchase plans, buy-backs or splits. Disable for datafeeds.

• As well as equities, other types of investment products are available such as investment funds, options, futures, commodities and fixed interest products

• When “Viewing All” investments on the Portfolio > Position page you can get a more transparent breakdown of what investments belong to what subfunds by selecting

  

• The column headings on the Portfolio > Position page can be customised by clicking on the Configuration icon.
  
  

• Security editing and details can be found by clicking on the icon on the left of each
  security in the Position and transaction screens.
  
  

Datafeeds

Overview

Datafeeds allow for information to be imported into XPLAN from third-parties, such as fund
managers by importing portfolio transactions into client portfolios.

There are two types of datafeeds: 

• User Datafeeds - Datafeed files are automatically obtained and processed by your XPLAN server, although the logs of datafeed processing need to be monitored by users for any processing issues. This is the old datafeed processs.

• System Datafeeds – The Datafeed stream passes through the IRESS Trusted Network (ITN), where IRESS manages the retrieval and default processing of datafeed data. This produces a ‘clean feed’ for XPLAN users.

 Hints and Tips

System datafeeds are gradually introduced vendor-by-vendor for sites running XPLAN 1.29
and above. Your Account Executive will contact you when new System Datafeeds are
available for your XPLAN server. 

Summary

You have: 

• accessed a client’s portfolio

• created a new portfolio subfund

• searched for an investment product

• added an investment product to a client’s portfolio

• learned how datafeeds work with XPLAN.

Client Relationship Management 

Introduction 

 XPLAN offers a number of tools to manage client relationships including the diary, client notes, sending emails, tasks and threads, generating reports and Xmerge syntax for inserting client information into documents.

Searching for Clients

Overview

Earlier we learned how to search for a client but typing their name within the Search box. There are a number of other ways to search for clients within XPLAN. Once the client is located various actions can be taken against the client such as sending them an email, assigning a File Note to them, amending their details within Client Focus, or including them in a management report. 

 Activity: Listing all clients

1.  Click on List on the top right hand side of your Xplan Page.

   

2. The list of clients is filtered by the five options, Status, Adviser, User Group, Category and Type, on the top left of the screen. This can then be minimised.
   
   

 Activity: Listing clients using the ‘Quick Search’ filters

1. Within the Search field enter the word ‘pcode:’ followed by the required postcode eg. ‘pcode:2021’ will list all clients who have an address within the postcode of 2021.

   

2. Select Enter on your keyboard.
   
   Other items can be searched for using this ‘Quick Search’ facility:
   
   
   
   

 Activity: Listing clients using the ‘Search’ filters

1. It is possible to produce a list of clients that fulfil a number of different search criteria. In this example we will list all males who are 55 years or older.

2. Click on Advanced in the Client Search area on the right side of the Tool Bar. Then select Advanced Search.
   
   

3. Select the Add button to add search criteria.

4. From the Field or Group tab select the Field Group of Entity. The Field Groups are all the Groups within the Client Focus module, whereas Entity is all the single fields.

5. The Field option should be set to the category of Key Details and the field of Age eg. [Key Details] Age

6. The Operation can be set to Greater than

7. The Value can be set to 55. The screen should now look like this:
   

   

8. Select Add More   .

9. The ‘Field’ option should be set to [Key Details] Gender

10. The Operation can be set to Equals

11. The Value can be set to Male. The screen will look like this:
    
    

12. Select the Add button
13. You are returned to the main Search area and the 2 search criteria are listed.
    

    

14. Select the Search button 

15. Select Save to save the Search Criteria and give it a name.

16. The search can be used again by clicking on Advanced and selecting the name.

  Hints and Tips

When searching for more than one criteria from the same Field ie (Key Details) Age
Greater than 55 and (Key Details) Age less than 60, you need to select the Filter List tab
and select the And dropdown option. 

This should be done as an additional step on its own by initially selecting either Add or
Add More.

 Activity: Send an email to the clients on the client list.

1. With the client list visible, tick the box next to those clients you wish to email (or leave clients unticked to email all clients in the list).

2. Click on Email hyperlink in the Email column heading:
   
   

3. You can either create the email or use an existing email template.

  Activity: Run a Management Report against those clients on the list.

1. With the client list visible, tick the box next to those clients you wish to appear in the report.

2. Select Reports > Management Report from the side menu.
   
   

3. Select the report that you wish to run, along with any variables.

4. Choose if you wish to run the report against all listed clients or only those clients that you have selected.
   
   

5. Select the Run button .

 Activity: Merge a document against those clients on the list.

1. With the client list visible, tick the box next to those clients you wish to run the document against.

2. Select Reports > Merge Report from the side menu
   
   

3. Choose if you wish to run the report against all listed clients or only those clients that you have selected.
   
   

4. Select the Report Category.

5. Select Report Template (Arrow button).

6. Select Execute.

 Activity: Add a task against all the clients on the list.

1. With the client list visible, tick the box next to those clients you wish to add a task against.

2. Click on the menu button  next to any one of the clients and select Add Task to All.

   

3. The Task can be completed as earlier illustrated in the “Client Management” Section of the Workshop Notes.

Client File Notes

Overview

Notes can be created in XPLAN and linked to any XPLAN entities. As well as allowing for the saving of simple text information, files can also be attached to notes.

When a text document, such as a PDF, plain text file or Word .doc is attached, XPLAN indexes the file as a background process and allows for searching within the attached document.

Scenario

During the meeting with Dylan and Jackie Manilow, some information is mentioned that you wish to record against their client files. 

 Activity: Creating a document note

While accessing Dylan’s client file: 

1. On the navigation menu select Admin > Note.
   
   
2. You can choose which entity to create the note for. In this example we will leave this as
   Client.
   
   

3. Click .

4. In the Subject textbox enter a subject for the note. Make sure you also specify the Type of note in the above dropdown box.

5. Enter the note text in the body text area of the note.
   
   

6. The  tab allows you to browse and upload attachments to the note.

   Attachments can be uploaded through the  buttons.

7. Click .

 Hints and Tips

• Special pasting icons ( and ) allows for inserting plain text and stripping existing formatting.

• The rich text editor allows for applying various formatting to text, such as text and background colours, bold, italic and underlined text, and HTTP links.

Sending Emails 

Overview

Emails can be sent from within XPLAN. You can send emails to individual entities or a
selection of entities. Files can be attached to outgoing emails, and sent emails can be
attached to receiving entities as document notes.

Scenario

You wish to send a follow-up email to the Manilow’s. 

 Activity: Sending an email

While accessing Dylan’s client file: 

1. On the navigation menu select Key Details > Contact.

2. Click the Home Email address. The email editor loads.
   
   

3. In the Subject textbox enter a subject for the email.

4. Enter the email text in the body text area of the email.

5. You can check the recipients of the email, and add or remove recipients, by activating the Recipients/Clients tab.

6. Usually at this point you would send the email by clicking Send; however as the email address is not a real address this is not recommended.

 Hints and Tips

• Emails can be sent via SMS.

• Xmerge templates and IPS reports can be generated and attached to emails during the email writing process. These are located from the navigation menu.

Email Signatures 

Overview

Email signatures can be created and saved in Xplan on either a site wide level for all users or on an individual user level. Once saved the email signature will automatically populate on your outgoing emails and email templates from Xplan.

Scenario

You wish to create and add your own email signature to Xplan: 

  Activity: Creating an email signature

1. On the top right of screen select Preferences. Or under the XPLAN button select User Functions, click User Settings.

2. On the navigation menu select Email > Signature Options.
   
   

3. Click the checkbox for the Use Personal Signature option.

4. Insert your signature. This can also be copied and pasted from other applications such as Microsoft Word:
   
   

5. To upload an image with your signature, you will need to insert the following code where you require the image to display: <:=$sender.xmerge_signature:>
   
   

   You then select  to upload the required image.

6. Save your signature .

  Hints and Tips

• Email signatures can be created and saved for all users on an Xplan site by selecting Administration Functions > System Settings. You will need to have the “System Setting” capability to have access to this function. On the Navigation menu, you then select System Settings > Email > Signature. You can also choose whether this signature is compulsory or not with the following check box . If this check box is unticked, other users of Xplan can choose whether or not to use this site wide signature from the  option within theirown “Signature Option” settings.

• Existing images for email signatures can be uploaded from the Xplan Document Library by selecting the  icon.

• The code for inserting images i.e. <:=$sender.xmerge_signature:> can also be found in the Help Files.

Email Templates 

Overview 

Email templates allow you to save frequently used email layouts, avoiding having to retype
them. Any elements that can be inserted into emails, such as hyperlinks, images and
XPLAN syntax, can be added into an email template.

When a template is used to fill out an email, the email can still be manually edited before
sending.

Scenario

We will create an email template for confirming a client’s address. This will also allow us to
use some basic Xmerge syntax. 

 Activity: Creating an email template

To create a new email template: 

1. Under the XPLAN menu, select Administration Functions > Templates.

2. On the navigation menu select Email Template. A list of any existing email templates

   displays.

3. Click .

4. Set the following details for the new template:

   • Recipient Type – Client

   • Type – Normal

   • Brief Description – Email template for confirming client’s address

   • Subject – Confirmation of Address

5. Click inside the body text area to place the text cursor there, then insert the Xmerge
   syntax for the recipient’s first name by:

   1. Click . The Insert XPLAN Template Syntax dialog box displays.

   2. In the From/To list select Recipient.

   3. In the Categories list select Key Details.

   4. In the Properties list select first_name.

   5. Click . The Xmerge syntax <:=$recipient.first_name:> is inserted into the email template body.

   6. Repeat Step 5 to insert further Xmerge syntax. A recipient’s contact address can be added by selecting Recipient > Address > Address. Sender information is available by selecting Sender in the From/To list.

   7. You can copy a pre-made email body below:
      
      

   8. Click .

You can test the email template while accessing a client by: 

1. On the navigation menu select Key Details > Contact.

2. Click the Home Email address that you entered earlier. The email editor loads.
   
   

3. In the list of templates select the template you created. The saved details of the template will be filled into the email. Edit as necessary.

4. Click on Preview. An example of the sent email displays.
   
   

Document Library 

Overview 

The Document Library allows for general and entity-specific notes to be stored within
XPLAN. These can be placed into categories, searched and have permissions set to keep
notes private or allow other users to access them.
Files can be attached to notes, and some file types, such as plain text, Word .doc, HTML
and PDF, can be indexed by XPLAN. This allows for searching within these files.

Scenario

Earlier we created a client note that was linked to Dylan Manilow. We will now edit this note
and also attach it to Jackie Manilow. 

 Activity: Use the document library to edit an existing note

To access the document library: 

1. Under the XPLAN menu click Document Note Functions > Document Library.

2. On the navigation menu select Browse > Client.

3. In the clients list click next to . The list of clients expands to show all client entities with a surname starting with M. Expand the letter of the surname of your client.

4. Click Dylan’s name. The note previously created displays.
   
   

5. Click on the previously created note to load it. You can now edit this note, and save any changes.

6. Activate the Related tab.

7. To add Jackie click on the Add button. A ‘Lookup Client’ box will appear. Type in the name to search and hit the Enter button.
   
   
   
   

8. Select Jackie from the list, and then click on Ok.

9. The note is now attached to Jackie as well as Dylan.

Summary

You have utilised XPlan’s Client Relationship Management Functions by: 

• Using simple and advanced searching techniques for clients.

• Running and Merging Reports against client lists.

• Creating Tasks.

• Creating File Notes.

• Emailing Clients using Templates and Signatures which you have created.

• Accessing the Document Library. 

Merge SOA / Using the SoA Wizard 

Introduction 

In this section, you will learn how to merge personal data stored in XPLAN into a Statement of Advice. This can is done by either merging a document via the Merge Report section, or by using the SoA Wizard.

Overview

When all of a client’s financial information has been entered into XPLAN, an adviser can use the various functions within XPLAN to generate proposals for the client.

A Statement of Advice can be generated for the client, where XPLAN will compile all of the required information together and produce a single document.

Scenario

We will use an existing XPLAN SoA template to generate a SoA document for the Manilow’s.

It should be noted that as we haven’t fully filled out the Manilow’s financial details or proposals, the generated SoA document will contain errors and missing text. 

 Activity: Generating a SoA report using Merge Report.

While accessing a client: 

1. On the navigation menu select Merge Report.

2. Select the Report Category you want and click on the arrow button against the required template.
   
   

3. On the next screen, tick the box of the template and click on .
   
   If a Confirmation dialog box displays due to missing data, click Yes. This refers to the Variables Page on the Navigation menu which allows Risk Researcher and XTools+ scenarios to be imported into the document.
   
   The SoA document is generated as a background process.
   
   

4. When the SoA document has been created click on to display the new system message.
   
   

5. Click  to download the generated SoA report.

Activity: Generating an SoA using the SoA Wizard.

A wizard is a user interface element where the user is presented with a sequence of pages to enter information. You can also use Merge Reports functionality to reach the same result without using the wizard. However, to ensure that all information is present in the Statement of Advice, it is better to perform this task using the wizard, especially if you are writing the Statement of Advice for the client for the first time.

Wizards allow site administrators to create custom procedure paths to collect data. 

Wizards

Launching the SOA Wizard 

1. In the Left Navigation Menu Bar in Client Focus, click on Wizards > SOA.

2. To navigate within the wizard you can use the functions on the top right hand side of the screen or use the navigation menu bar on the left hand side.

   Note: All wizards are different and have been customised to meet your needs. The best practice is to navigate using the  buttons and enter all information into the wizard pages.

3. Once you have navigated through all the pages within the SOA wizard, on the last page of the wizard, the navigation buttons on the top right hand side of the page will

   display . Click on .

4. By Clicking on Merge SOA you will be directed to the ‘Variable Substitution’ screen.

5. This screen is where you select the Xtools+ or Risk Researcher scenarios which you wish to include in your report. Select the  next to Xtools+ or Risk Researcher to select the scenario:

   
   

6. Once you have selected the scenario, click .

   If a Confirmation dialog box displays due to missing data, click Yes.

   The SoA document is generated as a background process.

7. When the SoA document has been created, click  to display the new system message.
   
   

8. Click  to download the generated SoA report.

  Hints & Tips

• All wizards are different and have been customised to meet your need

• Clicking on  will save the wizard and take you back to Client Focus. You can return to the wizard again from Client Focus.

Summary

You have: 

• Run an Xmerge template

• Generated a merged document.

• Generated a document using the SoA Wizard

Dashboard 

Overview

The XPLAN Dashboards allow you to create customised interfaces to quickly display information. The Dashboard interface is tabbed, and each tab can be tailored to display a variety of information.

Information displayed is set by adding widgets. Widgets represent different collections of XPLAN data. For example, the Outstanding Tasks widget can display a list of your tasks that are currently outstanding.

You can position widgets within a tab. The layout changes are saved automatically, so that when you access the Dashboard again all of the tabs and widgets will display in their previous locations.

Dashboards can be created for: 

• Users - User Dashboards allow a user to display information on clients and other users that they can view.

• Clients - Client Dashboards display targeted information for a specific client. They display in Client Focus, allowing you to view a snapshot of client data while accessing the client.

• Referrers - Referrer Dashboards allow referrers to view information about themselves, such as clients they have recently accessed and tasks that are assigned to them.

Scenario

You wish to set up your own dashboard items and have the dashboard as your default login page: 

  Activity: Setting up the Dashboard

1. To set up Dashboard you can a) Click on the site icon as the default screen is Dashboard; b) Click on the XPLAN button and select Dashboard.
   
   

2. Click the dropdown button next to the Main tab and select Add Widget.
   
   

3. In the Add New Widget dropdown select Outstanding Task and then OK.
   
   

4. Select the Parameters within the Fields you would like to view regarding Outstanding Tasks then click OK:
   
   

5. The widget will then fully display:

6. Repeat steps 2 – 4 and select Upcoming Reviews:

  Activity: Adding additional Tabs to the Dashboard

1. Click the  dropdown box next to the Main tab and select Add Tab.
   
   

2. In the Add New Tab box, type in a title of Client Snapshot and select OK.
   
   

3. In the Add New Widget dropdown select Client Birthday and then OK.
   
   

4. Select the Parameters within the Fields you would like to view regarding client’s Birthdays then click OK:
   
   

5. Repeat steps 3 – 4 and select Alert Summary:

6. The Widgets will then fully display:
   
   

  Hints and Tips

• Widgets can be moved to other positions on the screen by clicking and dragging the widget to the desired location.

• A default Dashboard can be created for all users to have the same Dashboard Setting. This is created from the XPLAN menu by selecting Administration Functions > System Settings. You will need the System Setting capability to have access to this function. On the Navigation menu, you then select Dashboard > User Dashboard. Once this Dashboard has been created, users can opt to have this Dashboard setting by clicking next to their existing Dashboard tabs and selecting “Load System Default” 

Summary

You have: 

•  Created your own Dashboard using multiple tabs and widgets.