Reporting User Guide

Transcription

1 Reporting User Guide

2 Reporting This guide will help you when you are using the Zurich Intermediary Platform. It will take you through the screens needed to view management information, create reports and to navigate the document library. Included are instructions on how to create client valuations, transaction listings and business reports, upload documents to the Platform, view and export the remuneration statement, and gain information from the Zurich Portfolio and Firm dashboards. The user guide can also be accessed by clicking the icon at the right hand side of the page, this feature is on all screens of the Platform. Once familiar with the system, this guide can be used as a reference document. Helpful icons on the Zurich Platform Contents Client Reporting 3 Portfolio Document Library 7 Uploading documents 8 Helpful information Enables you to edit the information Enables you to delete the information Denotes a mandatory detail. You must complete mandatory details to be able to move forward Tools 9 Remuneration Statement 10 Business Reporting 14 Firm Dashboard 17 Portfolio Dashboard 21 Enables you to save your work and exit the process. You can restart the process by selecting the item in your Work in Progress Expands the information Denotes that the portfolio is linked Reporting User Guide 2

3 Client Reporting You can create instant valuations for clients using the Platform. You can also generate a list of the client transactions between a specified set of dates. The documents will be stored in the client s Portfolio document library, and if you have allowed your client access to their Zurich Portfolio via the client portal, they will be notified by that there is new information to view in their document library. From the Firm dashboard, select Existing portfolio > Portfolio search Enter details in one or more of the Portfolio search options and click Search TIP Click on the search button and all clients you have access to under your user name will be displayed. Reporting User Guide 3

4 Client Reporting (continued) On the results page, click on the Portfolio name. This will take you to the dashboard for that Portfolio. TIP Click the icon to view the client s personal details. To generate a new client report, from the Portfolio dashboard, select Existing portfolio > Portfolio management > Generate portfolio reports Reporting User Guide 4

5 Client Reporting (continued) You can specify the date range you wish the report to generate information on. The report will be generated immediately and stored in the Portfolio s document library. Complete the Date from, Date to and select the Client Transaction Listing or the Client Valuation from the Report type dropdown menu. Click Generate The new report will be added to the top line of the report table and can be viewed and printed by clicking the icon. If you wish to change the status of the document for reference purposes, click the icon. Reporting User Guide 5

6 Client Reporting (continued) From the dropdown menu select the Status Click Save TIP To delete the document from the table of reports, save the status as Deleted Reporting User Guide 6

7 Portfolio Document Library To view the document library without generating new report, from the Portfolio dashboard select Existing portfolio > Portfolio management > Portfolio document library TIP You can quickly access documents using the Portfolio document table and button on the dashboard. The table lists all the documents held for the Portfolio. TIP You may narrow your search results by using the dropdown menus and clicking Filter Click the icon adjacent to the documents you wish to download. Reporting User Guide 7

8 Uploading documents You can upload documents into the client s Portfolio document library so that they can be stored for future reference or if the client has access, viewed on the client portal Click Upload document Select a Document type and Status TIP If your document is not one of the types listed in the Document filter, select Other, located at the bottom of the list. TIP The name you have given to a file on your computer is what will appear on the Platform under the Document heading, when uploaded. Accepted file formats for uploading are:.pdf,.doc,.xls,.txt,.jpg,.docx.xlsx Each document must be no more than 4mb in size and must to be checked to ensure that it is free from viruses, malware, trojans and other similar viruses. Click Browse to locate the file, and then Add to load it into the document library. Reporting User Guide 8

9 Tools A suite of independent tools is provided free of charge through the Platform, if your firm or network permits access. Features of the tools include: financial forecasting, fund research, portfolio x-ray, risk profiling, benchmark comparisons and model portfolio analysis. From the Portfolio dashboard select Existing portfolio > Tools Reporting User Guide 9

10 Remuneration Statement The remuneration statement displays information for each adviser s initial, regular initial, ongoing and one-off remuneration. Included information is: the date the remuneration was deducted, Portfolio number, account, adviser and amount. From the Firm dashboard select Information > Remuneration statement Reporting User Guide 10

11 Remuneration Statement (continued) TIP This screen allows you to filter the items viewed. You can select to Include paid, unpaid and unearned remuneration. TIP Unearned remuneration is any remuneration not yet deducted from submitted business. If you want to download the information into a spreadsheet, click Export to Excel TIP The total remuneration for the items listed is always displayed at the lower right hand corner of the page. TIP You can filter the search by using the dropdown menus, alternatively you can click into the heading and this will order the information in descending order, click again and it will order by ascending. If you want to view the remuneration for a specific Portfolio, click Find Reporting User Guide 11

12 Remuneration Statement (continued) This search function allows you to narrow the search by Portfolio type, name or number. Complete at least one search option and click Search Click the check box adjacent to the Portfolio then click Select Click Add TIP You can delete an unwanted selection from the right hand table by clicking the icon next to it. Reporting User Guide 12

13 Remuneration Statement (continued) The Portfolio number box will now be populated. Click Filter The table now displays only remuneration specific to the selected Portfolio. If you wish to download the information to a spreadsheet, click Export to Excel Reporting User Guide 13

14 Business Reports The Platform provides a wide range of management information reports. From the Firm dashboard select Information > Business reports A list of previously generated business reports are displayed in chronological order. The reports are in Excel format so that the information can be copied and pasted into other documents if required. Use the scroll bar to view all the reports and click the icon adjacent to the documents you wish to download. To generate a business report, click New Report TIP Select any of the From and To dates, Category or Report type options and then click Filter to narrow the search results. Reporting User Guide 14

15 Business Reports (continued) From the Category dropdown, select Management Info or Remuneration Complete the mandatory details and click Generate report to add the report to the list. TIP All the reports open up as an Excel document and can be filtered by firm and or by adviser. The following reports are currently available: Asset allocation shows a breakdown of assets in each IMA sector by account type. Cash Balances shows a breakdown by account, it will also show negative balances. Total Holdings shows a valuation broken down by individual account, includes number of units and sector. Investment instructions report shows a breakdown of pending transactions by account. ISA allowance shows amount of ISA allowance used for current and upcoming tax year. Remuneration report shows paid remuneration between two chosen dates. Reporting User Guide 15

16 Business Reports (continued) When the document Status is Complete you may view the report by clicking the icon. TIP You will need to change the Category dropdown menu to Management Info or Remuneration to see the list of the reports available under each category. Reporting User Guide 16

17 Firm Dashboard From the Firm dashboard you can monitor the assets under management and view breakdowns by value and account type. The information displayed in the Portfolios and assets bar charts can be changed by using the time period filter. This information can also be filtered by Firm and Adviser using the filters at the bottom of the page. The bar chart on the left shows the historic view and the bar chart on the right shows the current view. TIP Both the Firm and Portfolio dashboards default to compare 3 months in the past against today s date. You can backdate between 1 week and 12 months. Portfolios Click the icon adjacent to Portfolios for more information on the Portfolios you have access to. Displayed are the total Portfolios categorised by value. Click the icon for a visual representation of the Portfolio sizes in pounds sterling. TIP You can elect the As at date or Include Notepad items options then click Filter to refine the results. Reporting User Guide 17

18 Firm Dashboard (continued) From the Firm dashboard click the icon adjacent to Assets (GBP) on the Firm dashboard for a breakdown of all the assets held within the total Portfolios. The total assets and assets pending are displayed. You can also filter by asset class using the Show dropdown menu. TIP Assets pending Cash and Assets pending Re-registration refer to applications submitted where the applicable cash or assets have not yet been received. Reporting User Guide 18

19 Firm Dashboard (continued) From the Firm dashboard click the icon adjacent to Accounts for more information on the accounts breakdown. Displayed are the values and percentages of the accounts under your management. TIP Click the icon for a visual representation of the accounts, shown here. TIP Select either or both of the As at and Include notepad items then click Filter to refine the results. Reporting User Guide 19

20 Portfolio Dashboard From the Portfolio dashboard you can track the performance of your client s Portfolio using the Platform. You will need to select the individual Portfolio first. To view the assets, performance and accounts from a date within the last 12 months, select a time scale from the dropdown menu on the Portfolio dashboard. Click the icon adjacent to Assets (GBP) on the Portfolio dashboard for a breakdown of the total assets held. TIP Hover your cursor over the chart or chart key to show the account allocation and value. TIP By clicking on Evaluate portfolio assets, you will be taken directly to the FE tools (as long as you have been given access by your firm and or network as applicable). Reporting User Guide 20

21 Portfolio Dashboard (continued) Displayed are the assets broken down by asset class. You can also view the breakdown by Sector, Geography or Top 10 holdings using the dropdown menu. Click the button for a visual representation of the breakdown. TIP Select any of the As at, Managed by or Breakdown options then click Filter to refine the selection. From the previous page, click Detailed view to view a breakdown of each individual investment. TIP The and buttons show the same data represented in table or chart formats respectively. Reporting User Guide 21

22 Portfolio Dashboard (continued) From the Portfolio dashboard click the icon adjacent to Performance for more information on the Portfolio s performance. TIP The performance figure shown relates to the value after tax and charges. Use the scroll bar to view the summary, internal movements and external movements. Click Detailed view to see a breakdown of the performance of individual investments. TIP Select any of the From and To dates or From inception options then click Filter to refine the results. Reporting User Guide 22

23 Portfolio Dashboard (continued) The table displays information such as opening and closing values, as well as realised, unrealised, total gains and losses. TIP The and buttons reveal the individual holdings. Click Dashboard to return to the Portfolio dashboard. From the Portfolio dashboard click the icon adjacent to Accounts for more information on the accounts. Reporting User Guide 23

24 Portfolio Dashboard (continued) You can view any accounts that have an investment adviser managing assets using the Managed by dropdown menu, then clicking Filter Click the icon to view a detailed view of the selected account. TIP Click the icon for a visual representation of the accounts, shown here. TIP Select any of the As at, Include notepad items or Managed by options then click Filter to refine the results. The table displays the assets within the account, as well as the proportion of the Portfolio it makes up. Click Summary view to return to the previous page. Reporting User Guide 24

25 Zurich Intermediary Platform A better business experience NP (07/13) RRD For use by professional financial advisers only. No other person should rely on or act on any information in this advertisement when making an investment decision. This advertisement has not been approved for use with clients. Zurich is a trading name of Sterling ISA Managers Limited. Sterling ISA Managers Limited, authorised and regulated by the Financial Conduct Authority. Registered in England and Wales under company number Registered Office: The Grange, Bishops Cleeve, Cheltenham, GL52 8XX. Zurich Life Assurance plc is authorised and regulated by the Central Bank of Ireland and subject to limited regulation by the Financial Conduct Authority for the conduct of insurance business in the UK. Registered office: Zurich House, Frascati Road, Blackrock, Co Dublin, Ireland. Registered in Ireland under company number