Nucleus User Sessions
Contents
1. We will provide when new client site 2i 28 29 30 3 32 33 34 35 36 37 38 39 40 4 42 Manual Data is being cut off when importing into First Adviser Office ISINs are being cut off Can you show GAD limits and review dates on the platform Is there a way to pause the scroll banner Is there a way to include exclude cash from top ups where topping up into a model portfolio How long will you keep transaction history for Can you provide a notification update on instruction completion of a rebalance It is cumbersome when you have to sell a fund in General account before topping up the Isa from the General account Can you provide different labels for accounts for example where client has two General accounts Can the login information be saved for the day e g like ebay where you can login for a day Can you increase the lockout to 1 hour Can you add enhancements for partial buy partial switch When you add funds which accounts do you add them to Post sales illustration AMC is rounded to 0 2 which does not match pre sales illustration can you put on a caveat or provide a way to make this accurate Will Nucleus provide a group pension plan Will Nucleus ever provide a CTF Reason for this is more products have in house less chance there are of clients being poached Can you add CG Calculator for onshore 3 enhanceme2. analysis pages some funds can be missing from this Portfolio analysis pages can you enable the report to be displayed even where there is not the relevant history in the fund Can you add a feature to print all accounts in PDF currently have to go into each account separately Screens are too hard to read can you remove grey backgrounds Investment direction on tax relief is this applied differently on single versus regular contributions Can there be an email alert for payment of tax free cash Dropdown on homepage of clients is not in alphabetical order is in chronological order could this be changed 5 satisfied the issue is complete If you have any instances where this is not the case please let us know Yes we will deliver a set of our service standards We will create this as a development Add to schedule enhancement We are currently investigating this and will provide an update shortly We are currently investigating this and will provide an update shortly Yes we will provide this We will provide this as one offs as required for now We will investigate this particular case We will enable a way of presenting this where the funds do not have the required history to be displayed in the time series Will add to development schedule Add to schedule Yes we will remove grey backgrounds Add to schedule There is currently a bug w
3. Nucleus User Sessions October 2009 nucleus This document provides a list of the issues raised at the Nucleus User Sessions in October with responses from Nucleus and any planned developments IFA query feedback idea 1 What is the due diligence process on adding new fund managers to the platform 2 When will transaction history be available to clients 3 Can you add a report of commission levels 4 Can you provide a mail merge instruction for reports on Isa limits 5 Isthere a way to opt out of contract notes 6 Can email alerts be for multiple email addresses 7 Can there be ad hoc commissions without client signature 8 What controls and measures are there over direct debits Can you see which ones have not been actioned 9 Will you be able to group families for eligibility on discounts for tiered charging Similarly for small accounts 10 Can portfolio valuations be backdated 11 Can you provide a report of model portfolio history Nucleus response Development Each fund manager has a fund agreement signed with Nucleus before the fund can be traded on the platform We ensure that the asset can be administered by us however we do not do diligence into the risks associated with the asset November 2009 Yes Add to schedule Yes have done so No we have a regulatory requirement to provide contract notes for trades for General account and a TCF princi
4. breakdown of the Model Portfolio funds and then any other fund they are invested in Can we amend the online app so we can input a percentage of the investment for Model Portfolios and then add additional funds rather than having to process this as two separate apps Can you show TERs on the illustration Can you invest in more than one model portfolio for a specific account Inputting address details onto new client If client lives abroad you are unable to be put on without a postcode and overseas addresses don t have this When can we prepare drawdown illustrations on line direct rather than go via our account manager Is there a timeframe when Isa PEP accounts will be merged Is there a timeframe when APP Protected Rights accounts will be merged View correspondence can you put in more details of the name of the transfer contract note so they can be found more easily It s taking too long to upload on to client s account from when institution send over ie More than 5 working days Are we able to produce a report from Nucleus to show which clients are within a Model Portfolio Can you confirm of IFA cut off time for trading 7 We will investigate how this can be Add to schedule displayed Will add to application enhancements for start of next year We are currently investigating this and will provide an update shortly This isn t in our current plan You do
5. clarations if adding accounts Will investigate how this can be done Add to schedule Will plan to do this early next year Add to schedule Will provide a solution for this to enable these amounts to be used as part of charges This is provided in the Nucleus User Guides NUGs Will make more explicit so any quirks are apparent Please provide an example of this and we will investigate Yes we will provide this Yes we will plan to do this Add to schedule Yes we will plan to do this Add to schedule Yes we will plan to do this Add to schedule Yes we will plan to do this Add to schedule Will plan to do this next year Yes we will provide a note on this The correct procedure is Nucleus should resolve Jiras The IFA should close the Jiras when they are 59 60 61 62 63 64 65 66 67 68 69 70 7 Can you distribute a set of service standards to which Nucleus will deliver Can you show which transfers have been chased When determining the client s current tax code can you act on a P45 Currently you need to wait on a specific letter from HMRC although the required information is in the P45 Can you show income drawdown information before it has been actioned Can you make available a demo site to enable IFAs to practice rebalancing Can you provide a report showing process dates rather than effective dates for transaction history Portfolio
6. e transactions be named on the transaction history Can the IFA be emailed client contract notes What are the compliance ramifications of this Declaration if not all accounts are ticked at the onset what happens when there is a top up and accounts added Do we need to supply a new declaration For incoming correspondence should show which items have been processed Can there be flexible charging across accounts so that charges only come from some accounts When moving clients into USP residual distributions are paid into pension account can this be used for fees can t move to USP without affecting GAD Can you provide a list of quirks when using the platform My transaction history is blank for some clients Can you provide a client demo site so we can show to end clients Can you register for email alerts at application stage rather than having to go back in when client set up Can there be an all option for email alerts so that you re notified of everything Can you put the name of the model portfolio on the illustration Can you submit the application as a PDF Can you create drawdown requests on the platform Can you provide a note on setting up Outlook to better handle Jira emails Please can you stop Jiras being closed when they should be resolved 4 Yes we will do this Add to schedule Update to follow IFAs should send in updated de
7. enchmark Can we sell a of a model portfolio rather than having to work out of each fund Can we add a date range to the new business report Can we top up an Isa from the General account without having to send in the application paperwork again 6 Will review how to enable this We do plan to provide an accreditation system for using the Nucleus wrap platform this will be based on some of the material in the user sessions as well as on the standard usage The USP is effectively a different account for the platform so a new account number has to be provided Yes we will roll this out more widely for firms interested in this We will address this as part of the enhancements to the Application in Q1 next year Yes we will plan for this Add to schedule We will provide an enhancement to rebalancing next year to allow this We will provide an enhancement to rebalancing next year to allow this Yes we will provide this You are able to do this currently using the composite benchmark feature however we will add the OBSR model portfolios for this This will be in plan for next year Will add to development schedule Add to schedule Currently the operations team rely on the paperwork as part of operations processing we are investigating how this can be removed 85 86 87 88 89 90 91 92 93 94 95 96 Can we show on the client account a
8. he same email address Do you plan to offer a cash Isa Cofunds provide only one contract note for an Isa on completion of a switch can you do the same Can you put additional outgoing correspondence on the platform For example P60s Is there a client equivalent of the User 2 Will add to Application enhancements for early next year Will add to enhancements list Add to schedule Will add an indication of performance on Add to schedule portfolio summary page Currently this can be seen using Firefox Will provide a way to use portfolio analytics Add to schedule for the model portfolios that have been set Up We are currently investigating this and will provide an update shortly We are currently investigating this and will provide an update shortly Will add to development schedule Add to schedule Will provide a description of how to do this In addition will review with Platform Development Group Yes will do Each user has to have their own email address A new email address can be set up easily for clients for example here http mail google com mail signup We have no plans to offer this currently only if we had significant IFA demand We are currently investigating this and will provide an update shortly Currently we can only put on platform correspondence into the correspondence which excludes some off platform documents Will look to add
9. ith tax relief where there is investment direction set up for both single and regular contributions the platform takes the investment direction specified in the regular contribution A fix for this is in test and will notify on noticeboard when this fixed Will add to development schedule and will Add to schedule provide a letter to clients when tax free cash has been taken Will add to development schedule Add to schedule 72 73 74 75 76 77 78 79 80 81 82 83 84 Pension reviews can you bring forward the publication of these so that there s more time before the review date e g they should be published 2 months in advance Can we get a certificate for attending the training sessions Pensions in drawdown are keyed and then transferred to a USP which has a different account number can we keep the number the same Can we have Access to the website that Nucleus use for providing update information suggestions from IFAs Can we add cash to the fund list for when clients want to invest 100 into cash Can you update the illustrations to show which funds Model Portfolios the clients are invested in Can you show more details of what is happening as part of a rebalance ie How the system determines the correct switches Can you add a bulk rebalance tool Can you provide a drawdown quote request form Can you add model portfolios to the composite b
10. not need to submit a postcode as part of an application where this is not relevant this text box is not mandatory We are currently investigating this and will provide an update shortly We are currently investigating this and will provide an update shortly We don t plan to do this as there are differences between the accounts however it can be done on an individual basis Yes will add to development schedule Add to schedule We are currently investigating this and will provide an update shortly Yes this is now available on the platform 10 00 am daily
11. nts launched Please provide an example of this and we will investigate Will add to development schedule Add to schedule This information is displayed in its entirety on the Community page of the platform We will also look at pausing the scroll banner Currently this can be done using Scottish Widows Bank which is treated like an asset on the platform This asset CAN be excluded from the model portfolio We will add details on this to the User manual We intend to always keep this information We intend to introduce an alerting function that will cover this This currently provides additional flexibility as it enables you to specify which asset should be sold in order to fund the top up Will add to development schedule Add to schedule We don t plan to add this currently however we will consider extending the period before the platform asks you to log in again Yes we will extend this time Yes we plan to enable partial switches Add to schedule By default we add funds to the General Isa and various Pension accounts In short term we will add caveat however in Add to schedule longer term we need to find a way for this information to be accurate We will investigate doing this next year We will investigate doing this next year Yes we will do this Add to schedule 43 44 45 46 47 48 49 50 5 32 53 54 55 56 Sf 58 bonds Can natural incom
12. ple to provide consistency across accounts Email alerts will be for whoever is logged into platform By default a client signature will always be needed We are currently investigating this and will provide an update shortly Not for this year Add to schedule This is part of functionality planned for next Add to schedule year Will provide for rebalancing history Add to schedule 20 21 22 23 24 25 26 Can you add rebalancing into the application form Currently must be set up after application form submitted Can you show the name of the model portfolio on transaction history This would be useful to show when an MP has changed for an account i e to explain switches Can you reinstate the percent gain loss columns On internet explorer names of model portfolios don t show in the model portfolio selection dropdown why is this Can there be a report of the model portfolio performance which can be shown to clients Do death benefits need to be given to charity Can you add a clause to client declaration signalling client consent to rebalancing Transaction history page doesn t show client name can this be added for when printing and showing to clients Can you provide the process for IFA firms giving feedback for new features improvements Can you move user feedback to Nucleus wiki to help prioritise developments Can you show how couples can use t
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