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Just as you need duplicate tickets for the branch records in a manual system, you need a branch master file that includes all the tickets for all the advisors in your office. If you have a network, use one of the suggested set-ups for your network in Getting Started to automatically make your Branch Master file. If you do not have a network, use the Import and Export Commands to transfer data from the various advisors' computers to the computer with the Master File.
Handling Remote locations
BOOKS can be used to handle data from non-branch locations or branches under your jurisdiciton. You can receive your data in several different ways. Check with your firm's compliance department for how frequently you must update your master file from your remote locations.They may want you to have blotters faxed daily and allow updates once a week. Once updated you can discard the blotters.
1. Transmit data by modem or e-mail.
If you have a remote office which uses its own copy of BOOKS™, export files can be transmitted by modem from the remote location to the branch. See your communications software manual for instructions on how to transmit files. Note that the BOOKS™ Export command creates six files, all of which must be transmitted. You must transmit a separate export file for each financial advisor number.
2. Mail diskettes.
If you or your remote office do not have modems, you can still keep a branch master file in your OSJ without having to enter the orders again. Simply have the satellite office mail your office a diskette containing the six files for each advisor created by the BOOKS™ Export command, and import the data into your branch master file. The branch manager can then approve the orders just as he or she does with advisors located within the OSJ.
Changing Passwords
Change passwords often, using the Edit Advisors command.
New Account Procedure
Only if the data in the Accounts page is filled in completely can the Branch Manger judge the appropriateness of a particular trade to an account. Also, if the dtelephone number and address are not filled in, the Call Customer command and the print contacts commands are not useful. In most firms, the following procedure will work well for keeping your accounts pages up to date.
1. When the new account is opened by the advisor, and the paper new account form is ready to be forwarded to the Home Office, the advisor or advisor's assitant fills in the account information on the account page using the Accounts Add Acount command. If the advisor used the quick add available when placing the first order for a new account, the attempt to enter the account will result in a warning of a duplicate account number being displayed. At that point, the person filling in the information should use the Accounts Edit an Account command.
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