Step 1: Client Attestation

The first step in the process is to merge an attestation email and/or letter to send to each client, asking them to confirm their personal and financial situation has not changed. You will then need to record the response from each client.

This section of the workbook provides step-by-step instructions for completing the step highlighted in the diagram below.

Create a Campaign

The Campaign Management module is an integrated event and response/attendee tracking system. It allows clients to be targeted for communications, and keeps a record of the response from each client. Reporting and template-merging is also fully integrated to provide 'one-click' merging of letters and emails to clients linked to the Campaign.

How do I create a Campaign?

To create a Campaign for merging RoAs in bulk:

1. Go to XPLAN > Administration Functions > Campaigns:
   
   
2. On the left-hand side menu, go to Campaign > Campaigns:
   
   
3. In the List section, click Add (in the top right-hand corner):
   
   
4. From the Template dropdown list, select Bulk ROA – Client Attestation Campaign:
   
   
5. The Primary and Secondary tabs will be pre-populated with the information preselected in the template. Review this information and update as required.
   
   
6. In the Shared tab, review and update the access and editing permissions for your Campaign, i.e. Private or Share among specified groups.
   
   
7. Click Save.

How do I add groups of clients in bulk to the Campaign?

To add a group of clients in bulk to the Campaign:

1. Click Advanced in the search area of the Title Bar (at the top right-hand corner of the screen):
   
   
   
   
2. Click Advanced Search (at the top of the list of saved Advanced Searches).
   
   
3. Click Add (in the top right-hand corner). The Add Search Criteria window will be displayed.
   
   
4. In the Portfolio tab:
   
   
   • From the Search Type dropdown list, select  Linked Target Set.
     
     
   • From the Linked Target Set dropdown list, select the required Target Set.
     
     
     
     
5. Click Add.
   
   If you require additional search criteria (such as to exclude clients with managed discretionary accounts (MDAs)), each item will need to be added separately. To do this, click Add More and add your criteria as required. To find out more about the additional search criteria required to exclude clients with MDAs, refer to the instructions at the end of this section.
   
   
6. Click Search.
   
   
7. A list of clients that meet the Advanced Search criteria (i.e. linked to the selected Target Set) will be displayed in the  Search Result section.
   
   
8. Select the clients to be added to the Campaign, as applicable:
   
   
   • If no clients are selected (ticked), all clients will be added to the Campaign.
     
     
   • If some clients are selected (ticked), only the selected clients will be added to the Campaign.
     
     
9. Click  for a client:
   
   
   
   
10. Select Add Campaign to All:
    
    
    
    
11. The Add a New Campaign window will be displayed.
    
    
12. Select the required Bulk ROA – Client Attestation Campaign and click Ok.
    
    
13. The Edit Campaigner page will be displayed. Set the Invitee Options as required:
    
    
    • This Client Only
      
      
    • This Partner Only
      
      
    • This Client and Partner
      
      
    • All Related Clients under This Client (excl Partner)
      
      
14. Click Save.

Additional search criteria required to exclude clients with MDAs

To exclude clients with MDAs from your Search Result (and the Campaign):

1. Follow Steps 1 to 4 above.
   
   
2. At Step 5, click Add More.
   
   
3. In the Filter List tab:
   
   
   1. From the List Type dropdown list, select OR.
      
      
   2. Tick (select) the Negate the filter list result box.
      
      
      
      
4. Click Add.
   
   
5. Click on the  icon for the Filter List (NOT OR) Search Criteria:
   
   
   
   
6. In the Field or Group tab:
   
   
   1. From the Field Group dropdown list, select Asset.
      
      
   2. From the Field dropdown list, select [Asset] MDA Established.
      
      
   3. From the Value dropdown list, select Yes.
      
      
      
      
7. Click Add.
   
   
8. Click on the icon for the Filter List (NOT OR) Search Criteria.
   
   
9. In the Field or Group tab:
   
   
   1. From the Field Group dropdown list, select Superannuation-Plans.
      
      
   2. From the Field dropdown list, select [Superannuation-Plans] MDA Established.
      
      
   3. From the Value dropdown list, select Yes.
      
      
10. Click Add.
    
    
11. Click on the  icon for the Filter List (NOT OR) Search Criteria.
    
    
12. In the Field or Group tab:
    
    
    1. From the Field Group dropdown list, select Retirement-Income.
       
       
    2. From the Field dropdown list, select [Retirement-Income] MDA Established.
       
       
    3. From the Value dropdown list, select Yes.
       
       
13. Click Add.
    
    
14. Select (tick) the List Items checkbox to ensure all clients in the search results meet all search criteria:
    
    
    
    
15. Follow Step 6 onwards for How do I add groups of clients in bulk to the Campaign?

How do I add an individual client to the Campaign?

To add an individual client to the Campaign:

1. Locate the master client’s (or entity’s) record in your XPLAN CRM.
   
   
2. On the left-hand side menu, go to Marketing Info > Campaign:
   
   
   
   
3. Click Add (in the top right-hand corner).
   
   
4. From the Please choose a campaign dropdown list, select the required Bulk ROA
   
   
   • Client Attestation Campaign and click Ok:
     
     
     
     
5. Complete the necessary details and click Save (in the top right hand corner).

Send the attestation email

Using the Campaign Management module in the Bulk ROA process enables you to send an attestation email in bulk to each client added (or linked) to the Campaign.

How do I send an attestation email in bulk to those added to a Campaign?

To merge an attestation letter in bulk for those added to a Campaign:

1. Go to XPLAN > Administration Functions > Campaigns.
   
   
2. In the Filters section, from the Remaining/Max dropdown list select the required Campaign:
   
   
3. The clients added to the Campaign will be displayed in the Attendees section.
   
   
4. Click  Email and select Email Invitees:
   
   
5. The email editor will be displayed. From the Template dropdown list, select Bulk ROA Client Attestation Email:
   
   
6. Your campaign email will be pre-populated. Review and update as required.
   
   
7. In the Subject box, enter the subject of the email.
   
   
8. Tick the Return Receipt checkbox to receive an email notice when this email is read by the recipient.
   
   
   • Email receipt requests depend on the receiver's email software, and the receiver, to dispatch the notification that an email has been read.
     
     
9. In the From Address  dropdown list, select the email address to be set as the sending email address. This field will only be displayed if you have more than one email address added to your user account (or login).
   
   
   • If a Generic Address exists in the Outgoing SMTP System Settings and it is set to Forced , you will not be able to change the From Address to anything other than the Generic Address.
     
     
   • If you are emailing another adviser's client, you may be able to override the From Address and use the client adviser's address (refer to Step 16 below).
     
     
10. Time to Send can be used to delay sending of an email until a future date and time.
    
    
    • Queued emails are listed in the Job Queue, which can be accessed at XPLAN > Administration Functions > Job Queue. Queued emails can also be terminated from within the Job Queue.
      
      
11. Select the Attachment tab to attach files, if required.
    
    
12. Select the Recipients/Clients  tab modify the email recipients, if required.
    
    
13. Any entities in the recipient list with a duplicated email address will be flagged as Yes in the Duplicate column. Click  to remove the duplicate email address.
    
    
14. If there are more than 200 entities in the recipient list, the full list will not be displayed. To determine if there are any duplicates in the list:
    
    
    1. Click Search. The Duplicate Emails box will be displayed.
       
       
    2. Select (tick) the entities to be excluded from the email list.
       
       
    3. Click Ok.
       
       
15. Select the Override From Address tab.
    
    
16. If you have the User Capability for Override From Email Address and are emailing a client, you can select which of the client's advisers is set as the From Address .
    
    
    • If a Generic Address exists in the Outgoing SMTP System Settings and it is set to Forced, you will not be able to change the From Address to anything other than the Generic Address.
      
      
17. Select the Miscellaneous tab.
    
    
18. Set the note permissions:
    
    
    1. Add Note: Select Yes to save a copy of the sent email against all recipient clients. This will enable the note settings.
       
       
    2. Client Access: Select Yes to allow clients to view the created note in Client Online Access.
       
       
    3. Note Type: Select the type of the created note.
       
       
    4. Note Subtype: Select the subtype of the created note.
       
       
    5. Note Permission: Set the user visibility permissions of the note.
       
       
    6. Case Template: Select the Case template that the note will automatically be linked to. The note will be linked to the last activated instance of the specified Case template.
       
       
19. Click Preview to display a preview of the email.
    
    
20. Click Send (or Close to cancel).

Merge the attestation letter

Using the Campaign Management module in the Bulk ROA process enables you to merge an attestation letter in bulk to each client added (or linked) to the Campaign.

How do I merge an attestation letter in bulk for those added to a Campaign?

To merge an attestation letter in bulk for those added to a Campaign:

1. Go to XPLAN > Administration Functions > Campaigns.
   
   
2. In the Filters section, from the Remaining/Max dropdown list select the required Campaign:
   
   
   
   
3. The clients added to the Campaign will be displayed in the Attendees section.
   
   
4. On the left-hand side menu, go to Entities > Merge Reports:
   
   
   
   
5. From the Report Category dropdown list, select Wealth Axis – Administration Templates
   
   
6. Select the Bulk ROA Client Attestation Letter by clicking on the arrow icon:
   
   
   
   
7. Click Execute.
   
   
8. The clients’ attestation letters will be merged in the background. Click Ok.
   
   
9. When the clients’ attestation letters have been merged, click  to display the new system message.
   
   
10. Click Download Report to download the merged attestation letters.
    
    
11. Review each client’s letter and update if required.
    
    
    • For instructions on how to print letters (and other documents) merged in bulk, refer to Printing Word documents in bulk in this Zendesk

Record clients’ attestation responses

Using the Campaign Management module in the Bulk ROA process enables you to keep a record of the attestation response from each client added (or linked) to the Campaign.

How do I record each client’s attestation response?

To record the attestation responses for a group of clients in bulk in the Campaign:

1. Go to XPLAN > Administration Functions > Campaigns.
   
   
2. In the Filters section, from the Remaining/Max dropdown list select the required Campaign.
   
   
3. The clients added (or linked) to the Campaign will be displayed.
   
   
4. Click  for the client required.
   
   
5. In the Acceptance dropdown list, select Accepted (or Not Accepted, if applicable):
   
   
   
   
6. In the Outcome dropdown list, select Client attestation received (or Client circumstances changed, if applicable):
   
   
   
   
7. Click Save (in the top right hand corner).