The guide to a successful implementation

The guide to a successful implementation

with True Potential

Contents

2 Contents

3 Introduction

4 Your key contacts

5 Direct Contact 5 Your introducer 5 Recruitment and Agency Administration

5 Methods of communication

6 How to use your implementation system

6 Login7 Home Page8 Pipeline9 Message Window10 Task list

11 Agency and transfer of servicing work

12 Which agencies do you setup?

13 What do I do if I already have some or all of these agencies setup?

13 What do I do if I want to setup any additional agencies?

13 I am moving from a network that allows novation. What do I do next?

13 I am moving from a firm that doesn’t allow novation. What do I do next?

14 Data transfer guide

14 Introduction15 Directly Authorised Process16 Transitional Arrangement17 Process Scenario 117 Process Scenario 2

18 Real Time Valuation Guide

18 Introduction19 Why do this? 20 What do I do now?

20 What is involved?

21 Section 1: Unipass

22 How do I get my Unipass22 What do I do next if I use Internet Explorer?24 What do I do next if I use Firefox?25 How do I associate my Unipass with my agencies?25 Aegon Scottish Equitable25 Aviva/ Norwich Union/ (CGU Life)25 AXA26 Canada Life International26 Friends Provident26 Legal & General26 Prudential27 Scottish Life27 Scottish Widows

27 Standard Life

28 Section 2: Username and Password Setup

29 How do I associate my agencies? 29 Clerical Medical 29 Scottish Mutual 29 Skandia Life 30 Skandia Investment Solution (Selestia) 30 SIPP Centre

30 Fedelity Funds Network

31 Section 3: Exceptions

32 How do I associate my agencies? 32 Zurich Allied Dunbar/Eagle Star/Sterling 32 Confunds

32 Transact

33 Real Time Valuation Frequently Asked Questions

34 The True Potential Training Course

35 What is the purpose of the course? 35 When shoul I expect to be invited to the course? 36 What does the training course entail?36 Who do we send thr Newcastle for training?

36 What do we need to bring?

37 Suggested system guide

38 Hardware and operating platforms 38 Software used 38 Mobile devices 38 Access to the Internet

39 Appendix

40 Appendix 1: Supported Real Time Valuations Provider 41 Appendix 2: Supported systems41 Appendix 3: Data field supported

Welcome to the True Potential guide to a successful implementation. The purpose of this document is to ensure that you are fully aware of what work we will be completing on your behalf, where we will need your assistance and a guide to some areas that will be key in making your firm fully benefit from the True Potential approach.

What is a successful implementation?

True Potential are unique in the industry in that we look to ensure every element of your system is correctly configured and aligned with your business. Whilst this is an intensive up front process, experience shows that this produces the best results from the very start.

A fully implemented firm can instantly begin harnessing the full power of True Potential, including processes such as:

• Clientwebsitesandlivevaluations

• IntegratedcomplianceandTCFreporting

• Fullcommissionandfeehandling

• Innovativequotesprocess

Only until this is done and you agree with us can we class your implementation as successful.

How does an implementation work?

Your implementation is bespoke to you and takes account of your current position, your future aims and what the best route is to get you fully implemented and working as quickly as possible.

With this in mind, True Potential has built a definitive implementation system. This clearly lists every step that needs to be completed for a successful implementation.

An explanation of how this works is detailed in the ‘Howtouseyourimplementationsystem’section of this guide.

Who is responsible for my implementation?

Once your application has been completed you will be assigned a ‘Direct Contact’ (DC). Your DC has the overall responsibility of overseeing your implementation and is tasked with completing many of the tasks generated.

They will also act as your main contact within True Potential pre-implementation and will be able to guide you in the right direction for any queries you may have.

What do I need to do next?

Your DC will be in contact with you to make sure you can use your implementation site and to explain the next steps.

In the meantime, please take the time to read this guide and understand its contents. This will prepare you for the best possible implementation.

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Introduction

simple. effective. unique.

Your Key Contacts

DC

As explained in the introduction, your key contact at True Potential will be your DC.

The DC works as part of our Implementation, Support and Aanalysis team and specialises in working closely with firms such as yourself from day one until successful implementation.

As your main contact, your DC has overall responsibility for working with you throughout the implementation process. They also act as a guide; leading you through the entire process and introducing you to others involved in your implementation.

Your introducer

The individual who introduced you to True Potential will also be on hand to offer advice and guidance on your implementation.

Many of these individuals have undergone their own implementation and have helped others through the same process as you so they can give you useful 1st hand experience.

Recruitment and Agency Administration

This team are involved with your implementation from day one. Depending upon your type of application, they will handle your authorisation with the FSA, work with product providers to setup new agencies for you and ensure that all of your financial and regulatory information is correctly configured.

Methods of communication

Your implementation system comes equipped with a unique ‘pipeline’ messaging tool.

This tool allows for concise, written communication between you, your DC and others involved with your implementation. As it is a single viewing platform it also means that everyone knows exactly what is happening at any one time. For this reason, please use this as your predominant communication method with True Potential.

Your DC will also use a tool called ‘Remote Session’ with you at different times in your implementation. This is effectively a viewing platform that allows you and your DC to share information from your respective computers. Your DC will help you set this up.

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Your Key Contacts

True Potential have built a definitive implementation system to guide you through the process of your firm becoming fully implemented

This system clearly defines what tasks have to be completed to get you to this stage. It also offers a window to everyone involved with your implementation – be they your DC, our recruitment administration team or your initial introducer.

By having all information in one place everyone can see the exact progress of your implementation, ensuring a hugely efficient process.

How to use yourImplementation System

When you join True Potential, you will have your own bespoke page setup. To access this page please navigate to:

https://support.tpinside.com

You will then be asked to enter a username and password. Your DC will issue you with these.

Simply add the details into the relevant box and you can proceed into the site.

Login

Fromhere,youcandothefollowingtasks:

• Clickingthedifferentlinksinthelefthand marginwillletyouviewdifferentparts ofyoursubmittedapplication.

Notethattheseare‘readonly’and cannotbeeditedbyyou.IfyoufeelthatanythingisincorrectpleasecontactyourDC.

• ClickingthePipelinewillallowyouto viewallmessagesregardingyour implementation.Pleaseseetherelevant sectioninthisguide.

• ClickingontheTaskListbuttonwillallow youtoviewtheexactstatusofyour implementationandwhatisoutstanding

Pleaseseetherelevantsectioninthisguide.

Yourhomepagealsocontainstwootheroptions:

• Training:ThisletsyoureadourKnowledge Basearticlesandwatchourtraining videosifyouarekeentofindoutmore aboutTruePotentialbeforeyouattend ourcourse.

Youcanalsoviewandattendour trainingwebinars.

• Logout:Itisadvisedthatyouclickthis buttonwhenyouarefinishedonthesite.

Home Page

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When you login you will be taken to your implementation homepage. This page will give you a snapshot of your application.


Your implementation system contains a messaging system called ‘Pipeline’. This pipeline acts as a hub for all communications regarding your application. From here, you can liaise direct with all members of the True Potential team. Similarly, the team can also contact you in this way. To access the pipeline simply click the ‘Pipeline’ button from your homepage.

The pipeline page shows all communication regarding your application and implementation. From here you can simply view these messages or, on occasion when either asked or you think necessary, add a new message.

To add a new message simply click this icon in the top right of your screen.

Pipeline


To do this, first click the ‘Browse’ button and select your file from here. Then click the ‘Attach File’ button to affix it to your message.

Once you are happy with your message click the ‘Add message’ button to proceed. The team at True Potential will then action anything that is necessary. If you have been sent a message by the team you will also receive an email prompting you. When you get this email please login to the site, read the message and action if appropriate.

PleasetrytousethepipelineatalltimestocommunicatewithTruePotential,ratherthanemail.Thisisbecausethepipelineletseveryonewhoisinvolvedwithyourimplementationseeexactlywhatisgoingonatalltimes.

This will open up the new message window:

Fromhereyoucandothefollowing:

• Subject:Pleaseenterasubjectthatbest describesyourmessage.

• Message:Pleaseenteryourmessage inhere.

• Attachments:Ifyouneedtoattacha file(e.g.ifyourDChasaskedfor something)youcandoitfromhere.

Message Window


The implementation system automatically creates a task list for your firm. As this is bespoke to you the tasks listed are specific to your firm.

It is the responsibility of the team at True Potential to ensure that your completion is 100% to ensure that you are fully live and able to use the system to it’s full power.

When you first click the task list button you will see a summary of your firm’s application. Underneath the ‘Firm completion’ heading you will see an overall percentage of how much of your implementation is complete.

Your tasks have been split into separate sections to help distinguish them. These sections are in the left hand margin and are coloured purple.

To view a section simply click the purple box. This will expand all tasks under that section. If a task is highlighted in bold text you can click on it to view it.

Task List


True Potential will work with you to facilitate the opening and/or amendment of product provider agencies for your firm.

It is essential that this work be completed as quickly as possible. With this information we can then correctly setup your escrow account, quotes engine and, most importantly, your Real Time Valuations.

Agency and transferof servicing work

Which agencies do you setup?

26 providers have the capacity to support electronic links such as Real Time Valuations and it is these that we initially setup.

As most providers follow different procedures we will guide you through the process, whether this is to complete a generic agency opening form, signed Terms of Business or access to a web link.

Wherever possible, we will try to do this on your behalf. However, note that some providers will only deal with you direct. In these cases, please deal with these requests as quickly as possible.

The agencies we set up are as follows:

AEGON

Aviva

AXA

Bright Grey

Bupa

Canada Life

Canada Life International

Clerical Medical

Friends Provident

Fortis

Legal and General

Lincoln

Liverpool Victoria

Metlife

Prudential

Royal Liver

Scottish Life

Scottish Provident

Scottish Widows

Shepherds Friendly

Skandia

Standard Life

Sterling

Unum Provident

Winterthur

Zurich

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Agency and transfer of servicing work.


What do I do if I already have some or all of these agencies setup?

The first step is to establish which agencies you have and what your agency numbers are. If you don’t have a copy of this already your DC will ask you for it.

With your permission, we will write to the providers to advise you are entitled to enhanced commission rates as a True Potential client and to transfer the statements and commission payments to your escrow account.

We do this by supplying you with a provider authority letter template for you to sign and print on your firm’s letter headed paper. We ask for 10 copies to cover the providers who request written confirmation. The rest we send via email.

We will then work with you to ‘gap fill’ and create new agencies with any providers that are missing from the list.

What do I do if I want to setup any additional agencies?

We will be happy to request them on your behalf, simply use the pipeline to request the name(s) of the providers.

I am moving from a network that allows novation. What do I do next?

Your DC and the agency team will help you with this.

What we typically do is:

• Openallofyouragencies

• Provideyouwiththelettersneeded tocomplete

• Chaseuptheoutstandingproviderson yourbehalf

This ensures the work, your servicing/agency rights and any trail and renewals are switched to your new agencies as quickly as possible.

I am moving from a firm that doesn’t allow novation. What do I do next?

It is essential that you immediately transfer the servicing rights of all of your clients and their plans to your new agencies.

By doing this you will completely own the agency and servicing rights of your clients, as well as your trail/renewal commissions.

Your DC will work with you to make this process as easy as possible. This will involve:

• Helpingyouloadallofyourclientand policydataontoyoursystem

• GeneratingalloftheTransferofServicing lettersonyourbehalf.Wecanalsowork withyoutoprinttheselettersoutand sendthemtoyourclientsonyourbehalf.

• YourDCcanprovideyouwithmoredetails regardingthis.

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Agency and transfer of servicing work.


This section has been written to inform you of what True Potential can do for you in terms of transferring your current data onto your new system.

True Potential requires a very small basic set of data to operate effectively, so you do not need to worry if your current systems are lacking in detail.

Due to True Potential running a “Transitional Arrangement” and a “Directly Authorised” process, one of two approaches will be followed for your firm.

Once you are live with True Potential and we have setup your Real Time Valuation links, we can also use our bulk data cleansing wizard. This tool interogates your providers agencies and updates important client data such as policy numbers.

Your DC will be able to advise you throughout the process that you have chosen, but please first take the time to read and understand how True Potential works with you for the best possible result.

Data Transfer Guide

1. Data is extracted from your current system

Process

2. Data is validated by True Potential

3. Data is validated by yourself

4. Data is loaded onto your DA firm

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The Directly Authorised arrangement has been designed by True Potential for firms who are either:

a) AlreadyDirectlyAuthorisedwiththeFSA

b) ApplyingforauthorisationwiththeFSA andnotfollowingtheTAarrangement (seesection2)

Your DC will work with you to get your data extracted and populated extremely quickly and prior to you going live.

1. Directly Authorised Process

1. Data is extracted from your current system:

Please read Appendix 2 and 3 from this guide to see what exactly we can extract for you and where from. Your DC will send you instructions telling you how exactly to extract this data.

2. Data is validated by True Potential:

True Potential fully check your data for any possible corruption and to also ensure that it is ready to match the correct fields in your new DA system.

3. Data is validated by yourself:

True Potential provide you with an easy to use tool that lets you view the data that we have extracted for you before it is transferred across. It allows you to confirm that you are happy with the data extract we have performed for you. This is the most important step in this process and it is suggested that you spend careful time and attention with it; due to the way that True Potential work with your data this exercise cannot be repeated.

4. Data is loaded onto your DA firm:

As soon as your Direct Authorisation firm is ready to go, you and your DC will agree a time to place the data onto your new system. Upon the agreed date your data will be simply transferred across.


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The Transitional Arrangement (TA) has been designed by True Potential to get you working as quickly as possible. With this in mind, your DC will work with you to get your data extracted and populated extremely quickly and prior to you going live.

There are two scenarios which True Potential deals with regarding new firms. Both are detailed in this guide.

Scenario 1 is the most typical; a single IFA (or IFA firm) is joining the TA arrangement whilst they wait for their Direct Authorisation to be approved.


Process: Scenario 1

2. Data is validated by True Potential

3. Data is validated by yourself

4. Data is loaded onto your TA firm

5. Current and new data is loaded onto your DA Firm


Please read Appendix A and B from this guide to see what exactly we can extract for you and where from. Your DC will send you instructions telling you how exactly to extract this data.

2. Data is validated by True Potential:

True Potential fully check your data for any possible corruption and to also ensure that it is ready to match the correct fields in your new TA system.

3. Data is validated by yourself:


4. Data is loaded onto your TA firm:

Once your data has been validated it will then be added to your new TA system.

5. Current and new data is loaded onto your DA firm:

As soon as your Direct Authorisation has been approved you and your DC will agree a time to extract the data from your TA system and onto your new DA system. Upon the agreed date your initial data will be simply transferred across. All “new” data which you have placed on the TA system will also be transferred.

2. Transitional Arrangement: Process: Scenario 1


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This scenario is less typical; an IFA firm are splitting their resources between one IFA joining the TA arrangement, whilst the other IFAs in the firm await their DA firm being approved.

3. Data is validated by True Potential (relevant for strands a and b):

True Potential fully check your data for any possible corruption and to also ensure that it is ready to match the correct fields in the True Potential system.

4. Data is validated by yourself (relevant for strands a and b):


5. Data is loaded into your TA firm:

As soon as your Direct Authorisation has been Once the data from strands 3b and 4b have been validated it will then be added to your new TA system.

6. Current and new data is loaded onto your DA firm:

As soon as your Direct Authorisation has been approved you and your DC will agree a time to extract the data onto your new DA system. Upon the agreed date your data from strands 3a and 4a will be transferred across. All current and “new” data which you have placed on the TA system will also be transferred.


Please read Appendix A and B from this guide to see what exactly we can extract for you and where from. Your DC will send you instructions telling you how exactly to extract this data.

2. The split of your data is agreed:

This is where you need to decide which data goes directly onto the TA arrangement and which data doesn’t need loading and can go straight onto your new the DA system. It could be that you decide to simply move all of your data onto the TA arrangement instead of splitting it; this is not a problem.

Process: Scenario 2


Process: Scenario 2

2. The split of your data is agreed.

6. Current and new data is loaded onto your DA firm

3a. Data is validated by True Potential

4a. Data is validated by yourself

5. Data is loaded into your TA firm

3b. Data is validated by True Potential

4b. Data is validated by yourself


Real Time Valuations Guide

As part of your implementation process True Potential will work closely with you to create full valuation links for your firm and your client.

True Potential has spent considerable time on behalf of their clients establishing how exactly to do this and detailing how to achieve full linkage.

This guide has been written to detail what is involved, what you need to do and how you and True Potential can work together for the best possible outcome.

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Your True Potential DC will be in touch with you to begin work and plan your next steps. In the meantime, it is recommended that 3 items are completed:

1) You ensure that your agency forms are completed. This is because each provider needs an agency established before letting you create real time valuation links. Your DC will be able to help you with this. 2) Wherever necessary, you need to ensure that you have began either Transferring the Servicing rights of a client to your new agency, or that you have begun the novation process. Again, your DC will help you with this.

3) Please take the time to read this guide and understand it.

True Potential can offer you the most comprehensive range of live, real time valuations in the industry.

Thisgivesyouanumberofbenefits,including:

• Live,accurateclientwebsites andmobiledevices:

Your clients will be able to view exactly how their investments and pensions are performing via their own bespoke website and their mobile devices. Because our valuation links pull live data from providers, this means that you can offer your clients a hugely relevant and current view of their net worth.

• Lessadministration:

Having the correct links in place means that you can prepare up to date portfolio reports for your clients at the click of a button.

• Moreaccurateinformation:

As well as providing up to date price information of a plan, real time valuations can also update fund names, unit holdings and the individual prices of these funds. This ensures that you and your clients have the most accurate information regarding each plan possible.

What do I do now?Why do this?


Your True Potential DC will work closely with you throughout the process to complete as much of the work on your behalf as possible.

However, due to some provider security standards, it is quite common that you will have to make initial contact with the providers to begin switching on the links.

True Potential provide real time valuations for 26 different providers and our aim is to establish a link with all of these; even in cases where you do not have current business with a particular provider. This is to ensure that you have full compatibility moving forward (for example, if you transfer the servicing of a plan into your agencies).

This guide has separate sections detailing what exactly you need to do for each of these 3 methods. The appendix of this guide contains the full list of supported providers and which of the 3 methods needs to be followed.

1) Unipass: This is a digital signature/certificate. This method means that you do not separate usernames and passwords for each individual provider; the Unipass is simply associated to each of your agencies.

2) UsernameandPassword: These providers do not support Unipass and instead insist upon you having a username and password for each of your agencies.

3) Exceptional: This category is for providers who require a different type of authorisation to either Unipass or Username/Password.

What is involved?


A Unipass is a digital certificate that you can obtain from Origo. It identifies your firm based on a digital identity and associates this with your agencies.

For a Unipass to work in all situations all agencies you have with a provider must be linked with the username and password or Unipass where appropriate.

You may end up in a situation where some policies value, and others don’t. This may be because the provider hasn’t correctly associated all of your agencies with your Unipass. To correct this you need to contact the provider and request it to be correctly setup.

Section 1: Unipass

First, you need to ensure that at least 2 of the Unipass supported provider agencies have been setup. The full list can be found in Appendix 1 of this guide.

Once you have 2 setup then you need to register at: https://unipass.unipass.co.uk/Apply/Apply1_DPP.aspx

How do I get my Unipass?

1) Open Internet Explorer

2) Click on ‘Tools’ then click ‘Internet Options’

3) Go to the ‘Content’ tab then click ‘ Certificates’

4) Look for the certificate issued by OSIS Customer CA then click ‘Export’

5) Click ‘Next’

True Potential now need to export your Unipass so that it can be configured with your system. To do this, please follow these steps:

Extracting Unipass in Internet Explorer.


6) Choose ‘Yes – export the private key’ then click ‘Next

7) Tick ‘Enable strong protection’ then click ‘Next

8) Set the password as implementation (lower case) then click ‘Next’’

9) Set the export location then click ‘Next’

10) Click on ‘Finish’

11) Click ‘OK’

12) You now need to email this file to [email protected]. If you are unsure how to do this your DC will help you with this.

Extracting Unipass in Internet Explorer.



1) Open Firefox

2) Click on ‘Tools’ then click ‘Options’

3) Click ‘Advanced’

then click ‘Encription‘ tab and ‘View Certificates’

4) Choose the ‘Unipass Certificate’ and click backup

5) Choose location, enter file name & save

6) Password: ‘Implementation’ click OK

7) OK

Extracting Unipass in Firefox.

Once you have received confirmation that a provider has set your agency up you then need to associate your Unipass to it. Ordinarily your DC will be able to complete this with you.

Instructions for each provider are listed below:

How do I associate my Unipass with my agencies?

AEGON Scottish Equitable

Associate your Unipass by going to: http://www.aegonse.co.uk/adviser/

Click the ‘Adviser Login’ button in the top right hand corner of the page.

Click the ‘Login with Unipass’ option

Otherusefulinformation:

Policy numbers are generally in a 7 numeric digit format. You can request a bulk data download by logging in and then clicking ‘Request bulk data (SmartData)’.

Ensure you have your agency numbers associated, by clicking ‘Add Agency Numbers’.

Aviva / (CGU Life)

Associate your Unipass by going to: https://www.aviva-for-advisers.co.uk/

Click the ‘Unipass Login’ button

Axa

Depending on your previous links with AXA there are 3 different options available to you:

1. I have not registered with AXA – Please Register Here: https://advisers.axa.co.uk/genesys/ aslimpweb?context=registration

2. I have previously registered but I have username and password: associate your Unipass with your account here: https://advisers.axa.co.uk/log/certauth. html?PRO=life_login unipass&TYPE =link&PLA=log_login


It will take 24 hours to fully link your agency.

Policy numbers need to be in this format:

• asixcharacternumeric,e.g.700456

• asevencharacternumeric,e.g.3000456

• atencharacternumeric,e.g.1000123456or

• twolettersfollowedbyfivenumbers,

e.g. AB12345



Canada Life International

Associate your Unipass by going to:https://secureifazone.canadalife.co.uk/selfcare/ClukBrokerLoginSelfCare/

Click the ‘Login with Unipass’ button

Navigate to the admin section and ensure that all access boxes are ticked.

Friends Providents

Associate your Unipass by going to: http://www.friendsprovident.co.uk/common/layouts/subSectionLayout.jhtml?pageId=ifa/SitePageSimple:registersplash

Click ‘existing business’ > then log in with Unipass


It will take 24 hours to fully link your agency

Bulk Data Download available by clicking existing business > data downloads > then all policies

Policy numbers need to be in format 99999999

Friends Provident tend to use a Contract Enquiry reference number instead of a plan number to get a successful valuation. You can obtain this through the bulk download or the policy on the extranet.

Prudential

Prudential work on a series of ID Verifications, please make sure that the post code in your unipass matches that of your agencies.


Policy numbers need to be in format X9999999X

LV=

At the time of writing LV= only support Personal Pension valuations via contract enquiry.

To register for LV=’s extranet go to http://www.lv.com/adviser.

Click on Unipass access, and choose your Unipass. Then complete the form.

To obtain contract enquiry policy numbers go to ‘Retirement’ then click on Pensions, account servicing, then account servicing once more.

Another window will appear, click search, then a list of your policies will appear. Click one of those policies, and the number will appear on the screen in format X99999999.

Legal & General

Associate your Unipass by going to: https://www10.landg.com/ExtranetRegistra-tionWeb/Start.do?portal=adviser

Click the ‘Unipass’ option

Click the ‘Register’ button


The policy number you are searching on must match one of the following formats:

• 1234567890(10digits)

• US1234567(USplus7digits)

• UP1234567(UPplus7digits)

• U123456(Ufollowedby2spacesplus6digits)



Scottish Life

Setup depends on whether you already have an online account registered with Scottish Life.

If you haven’t registered please register here: https://www.scottishlife.co.uk/scotlife/Web/Site/sitetools/Register/RegisterAdviserIFA.asp

If you already have an online account register your Unipass with your online account. https://www.scottishlife.co.uk/scotlife/web/site/SL_Login.asp?type=


It will take up to 48 hours to fully link your agency

To download bulk reports Click Online Services > Click existing business > Then click Pension Schemes or Individual Contracts.

Policy numbers need to be in format 9999999

Scottish Widows

Setup depends on whether you already have an online account registered with Scottish Widows.

If you haven’t yet registered, register with your Unipass here: http://www.scottishwidows.co.uk/extranet/ servicing/login_register_adviser_type.html

Then click ‘Register as a Financial Adviser’

Follow the prompts

Select ‘Register with Unipass’ when asked

If you already have an online account but you have a username and password log in here you should associate your Unipass with this account. https://secure.scottishwidows.co.uk/ifa/nfshow.wpl/3001

Standard Life

Associate your Unipass by going to: http://www.adviserzone.com/

Click the ‘Register’ button

If you do not already have an online account choose the ‘I already have a Unipass certificate and wish to use it to access the adviserzone’ option.

If you do have an online account already choose the ‘I already have a User ID and password and wish to associate my Unipass Certificate to my existing account to access the adviserzone’ option.


To ensure you are also set up for RTV’s go to the following link https://online.standardlife.com/intermediaryfirmaccess/html/firm_registration_index.htm

Policy numbers are generally as follows:

• PersonalPensionsstartKfollowedbyeither9 or 10 numeric digits. K34676500• InvestmentBondsstartxfollowedby9or10 numeric digits. X76051404A• PensionDrawdownsstartdfollowedby9or 10. D6070193000

You can get a bulk data download from the front page of adviserzone.


This method is needed when a provider does not accept a Unipass. It identifies your firm based on a unique username and password which is then associated with your agencies.

Section 2: Username & Password Setup

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Follow the instructions for each provider listed below to create an online account. Wherever you have the choice it is recommended that you use the same username and password for each provider.

It is also recommended that you make a note of these usernames and passwords; your True Potential DC will need them to configure your system.

How do I associate my agencies?

Clerical Medical

Please navigate here: https://ifa.clericalmedicalsecure.co.uk/Content/Registration/Registration.aspx and complete the online registration and obtain a username and password.

You will then need to complete the ‘100126 Clerical Medical’ form and send to the address on the last page of the form.

Your DC can provide you with this form if you do not already have it.

If you already have Unipass access you can contact the registration team on 0845 609 2233.


Policy numbers need to be in format 9999999, X9999999, 9999999X, (Policy Specific Prefix = BND) BNDX999999, or BNDX999999/999999

You can obtain a bulk data download by clicking ‘bulk data downloads’ from the Clerical Medical e-Services homepage.

If asked, do not associate your Unipass to Clerical Medical; this disables your username and password and causes RTVs to fail.

Scottish Mutual

Is closed for new business however, if you have existing business, you can register here: https://www.phoenixlifegroup.co.uk/intermediaryservice/ifa_register.shtml

Your username and password will follow by post.

Alternatively contact the web registration team on 0141 275 8620.


Your Enumber is linked to one or more of your Agency Numbers. We hold an Agency Number in each policy record. Should the Agency Number not match with the requesting Enumber, you’ll receive a standard error message ‘Contract Not Found’.

Your password as entered in your back office system must be 8 characters in length and must match your password associated with your Enumber.

Policy numbers are numeric and consist of 6, 7 or 10 digits - where it’s 10 there are 4 leading zeroes.



Skandia Life

Please navigate here: https://www.skandia-life.co.uk/beacon/frameset/uk/wrap.htm

Once you have your username and password, True Potential also need a contract enquiry reference. Your DC will help you with this.


Supported policies for Skandia Life are those prefixed with:

IMN, IMX, MIP, MUF, MUP, SEP, SLP, TSP, CAB, EAB, HIB, SDB, SIB, DA1, DA2, DA3, DA4, DA5, AD6, EP1, EP2, EP3, EP4, EP5, EP6, FS1, FS2, FS3, FS4, PP1, PP2, PP3, PP4, PP5, PP6, TI1, TI2, TI3, TI4, TI5, TI6, BB6.

Skandia Investment Solutions (Selestia)

Please navigate here: https://www2.skandiais.co.uk/eifa/start.swe?SWECmd=Login

Once you have your username and password, True Potential also need a contract enquiry reference. Your DC will help you with this.

ThebelowappliestobothSkandiaLifeandSkandiaInvestmentsSolutions.

To have all broker account numbers associated, the accountholder should contact 02380 729 728

SIPP Centre

Please navigate here: https://www.sippcentre.co.uk/ ifaRegistration.asp


SIPP Centre have provided a user guide detailing how best to get the correct policy numbers onto your system: https://www.sippcentre.co.uk/Download/Valuations.pdf

Policy numbers need to be in format SCC999999

Fidelity Funds Network

Please navigate here:https://www.fidelity.co.uk/adviserservices/client-management/register.page As well as your username and password, True Potential will also need your UAN.


The providers detailed in this section are those which can not be neatly classified as being either Unipass or Username/Password setup.

Section 3: Exceptions


Zurich Allied Dunbar / Eagle Star / Sterling

Your DC will set this up for you. They will need your FSA Number and your agency number(s).


Supported Pension policies for Zurich (Eagle Star, Allied Dunbar, Sterling) are formatted with

• 1alphanumericcharacterthen5numbers– 3 alphanumeric – 3 alphanumeric. (A12345-AAA-AAA, or 112345-BBB-BBB)• SupportedBondpoliciesforZurich(Eagle Star, Allied Dunbar, Sterling) are 8 numeric (12345678) - must be in this format or RTV will not be requested.• SupportedCollectiveInvestmentsfor Zurich (Eagle Star, Allied Dunbar, Sterling) are 1 alphanumeric – 6 numeric. (A123456, or 1-123456).

Novia

Please send the following email to:[email protected]

Hi, please set up the FTP link with True Potential for <insert firm name>

Ascentric

We will sort this for you if you would like this set up, please let us know

Cofunds

You will need to sign the s2s agreement 3 times and either complete an agency opening form or a user upgrade form.

Your DC will work with you on this.

Transact

Please complete the A004 form, which your DC can provide you with. Once completed, please send to [email protected] where the work will be completed.


The following questions are a small selection of things we are commonly asked by both new and current users. We’ve added this section to help further your understanding; of course, your DC will always be on hand to help.

Real Time ValuationsFrequently asked questions and tips:

Q.IcannotgetavaluationviaTruePotential.

A. Please ensure you can get a valuation via the provider website using the login details passed to True Potential.

Q.Icangetvaluationsforsomebutnot allofmypolicies.

A. Please ensure that you have all your agencies under the logins we are using.

Q.WhydomyCofundstakesolongto setup?

A. Cofunds require a certain procedure to be followed. We will guide you through this process.

Q. Iamamultipleadviserfirm,whatis thebestwaytosetthisup?

A. The best process to follow would be to get one login with access to all the agencies.

Q.Myusername/passwordhaschanged foraprovider?

A. To us and we will do the rest for you.

Q.AXA1066error,whatdoesthismean?

A. This means you need to complete the form in the above AXA section.

Q.Igetanerrorsaying‘ClericalMedicalError’ pleasecompleteeserviceform.

A. Please contact your DC for this form.

Q.HowcanIobtainarealtimevaluation usingtheTruePotentialsystem?

A. Real time valuations can be obtained by: - Clicking ‘obtain RTV’ on the policy valuations page - Generating a clients portfolio - When a client logs into their client website - Clicking ‘update portfolio’ within Asset Allocation

Q.MyUnipasshasexpired,whatshouldIdo?

A. Send the new one to us.


The True PotentialTraining CourseTrue Potential runs a dedicated training course for all new clients and it is the ultimate responsibility of our training team to ensure that your transition to True Potential is as smooth as possible.

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What is the purpose of the course?

The primary purpose is to ensure you can leave course with a great understanding of how you and your business can use True Potential for the best results.

You should already be familiar with ‘The Perfect Sales’ process, something your introducer will have spoken to you about, and it is this that forms the foundations of your 3 days with us.

The course will show you how to use this to your advantage; making sure you stay ahead of your competitors. We will show you how to convert a prospect into a client, and a client into a web user.

By the end of the course attendees will be able to:

• Usemultimediaapplications

• Navigate,populateandmaintainaclientwebsite

• Submitbusiness

• Chasebusinesselectronicallywithproviders

• AdheretoFSAregulatoryrequirements

• Reconcileallcommissions

We look to achieve all of these when you’re in Newcastle; through training you and providing you with the necessary tools to run your business effectively.

When should I expect to be invited on course?

There are several factors that play a part in inviting someone to attend the training course - attendees usually fall into one of three categories: those clients who are already authorised; clients using True Potential’s ‘transitional arrangement’; and clients not using the ‘transitional arrangement’ but are requiring authorisation.

• Clientswhoarealreadyauthorisedwill usually be invited to attend the course within 3 weeks of joining.

• Clientswhoarenotauthorisedbutareusing the ‘transitional arrangement’, will usually be invited to attend the course within 1 week of their application being submitted to the FSA.

• Clientswhoarenotusingthe‘transitional arrangement’ but require authorisation will follow the same process as those already authorised. You are usually invited within 3 weeks once your authorisation is complete.

The reason for these gaps is that we want your system as configured as much as possible before attending course. Each client is different so it essential that you work with your DC to get you into the best possible position. This then means that you leave course and can begin using True Potential immediately.

True Potential believe that the best way to use your system correctly is through thorough hands on training at our Head Office.


What does the training course entail?

The training course is a residential course here in Newcastle and you will be expected to arrive in time to start the course at 9am on Monday morning. The course is 3 days long and will cover the end to end solution. Each day will start at 9am and finish around 5pm.

Agenda:

Monday and Tuesday is very client focused. We will cover the client websites and the client file in detail – items such as portfolio, valuations, fees, and writing new business.

Wednesday will cover the business management aspect – items such as compliance/TCF, commission processing and management information.

Once the system has been covered in full, you will have the opportunity to spend some quality time with your DC – this will take place on Wednesday afternoon.

As you will have been communicating with your DC via pipeline, you should already have an understanding of what is expected of you prior to going live. These meetings have no formal agenda as they depend entirely on the status of the company at that point in time, however the likely items covered will be real time valuations, data extraction (if applicable), agencies, and Gabriel dates.

Who do we send to Newcastle for the training?

As mentioned, Monday and Tuesday concentrate on the client –this is very much an advisory role. We would recommend you send at least one adviser who will be capable of absorbing and understanding the training in order to pass this on to those unable to attend.

With regards to Wednesday, as this is business management an administrator would be beneficial.

Ultimately it is down to you as the principal of your company to determine who would be most suitable for the training course. On average we receive 1 to 2 advisers and 1 administrator.

What do we need to bring?

All course training material is provided, however if you wish to make notes you will need to bring a notepad and pen. We ask that you attend wearing business attire.


Suggested System Guide

True Potential is a ‘cloud based’ system. This means that you can access it from anywhere in the world, from a range of devices, provided you have access to the internet.

As a rule, we support a range of different computer and software configurations, however, for optimal performance, the below specifications are recommended. If you have any further questions, your DC will be more than happy to help you.

Hardware and operating platforms

True Potential works on both Microsoft and Apple desktop and laptop machines.

For optimum performance we recommend that Microsoft 7 or Apple OS X is used.

As a minimum, we’d recommend using nothing earlier than Microsoft XP or Apple OS 9.

Please note that the offline factfind does not work on Apple operating systems.

Software used

True Potential only requires a web browser to function. Internet Explorer and Firefox are the browsers that we recommend best.

For optimum performance, we recommend using IE8 or Firefox 3.

As a minimum, we’d recommend using nothing earlier than IE6 or Firefox 2.

Mobile devices

True Potential supports the following mobile devices:

• iPhone(viaapponly)

• iPad(via app only)

• GoogleAndroiddevices

• Blackberrydevices

• Windowsmobiledevices

Each of these devices have had specific applications built for them; you can also access sections of True Potential using mobile HTML.

Please note that mobile devices should be used in conjunction with a separate PC for best practice.

Access to the Internet

• Abroadbandconnection.Youcanuseeither a wireless or wired connection.

• Ifyouareusingmobileinternet,ensurethat your mobile provider can give you a consistent 3G connection.


Appendix:

1. Supported Real Time Valuation Providers.

2. Supported systems.

3. Data fields supported.

Aegon Scot Eq

Ascentric

Aviva

AXA

Canada Life

Clerical Medical

Cofunds

Fidelity

Friends Provident

Legal & General

LV= Liverpool Victoria

Novia

Prudential

Scottish Life

Scottish Mutual

Scottish Widows

SIPP Centre

Skandia Investment Solutions

Skandia Life

Standard Life

Transact

Zurich Allied Dunbar

Zurich Eagle Star

Zurich Sterling

Username/PasswordUnipassName of Provider Exceptional

xx

x

x

xxxx

xxx

xxx

xx

x

x

x

x

xxx

x

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Appendix 1: Supported Real Time Valuation Providers.


True Potential can extract your data from a wide variety of sources. These include:

• FirstSoftware•Intelliflo•Quay•Plum•Bluecoat

• ClientAssyst•JCS•Sesame•Durell•2Plan

If your system is not listed above then there is every possibility that True Potential will still be able to work with you to extract your data. Your DC can help with this process.

Appendix 2: Supported systems

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Appendix 3: Data fields supported

True Potential extracts a wide variety of your data from your current platform and uses this to populate your True Potential system.

This data is an inclusive list of what can be extracted:

Data Transfer – Client details

ID Legacy client reference from system if available

Title Mapped to defined list

Forename

Surname

Gender Mapped to defined list

NI Number

Relationship to client Client / Prospect

Home Address Line 1 Typically Number / Street

Home Address Line 2

Home Address Line 3

Home Address Line 4

Home Address Town

Home Address County

Home Address Post Code

Home Tel

Home Email Address

Work Tel

Work Email Address

Mobile

Data Transfer – Policy details

ID Legacy policy reference from system if available

Company ID

Company Name Mapped to defined list

Policy Type ID

Policy Type Mapped to defined list

Contract Number

Premium

Premium Frequency Mapped to defined list

Premium Frequency Desc Mapped to defined list

Start Date In Force Date

Policy owners As client ID from above

Original adviser As adviser ID

Servicing adviser As adviser ID

Expected commission Total written commission figure

Agency Agency code related to this policy

Business Type

Sum Assured

Policy Status


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www.tpllp.com

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The guide to a successful implementation

Documents

Transcript of The guide to a successful implementation