|
2. Whenever a client advises you of a change of address or telephone number, use the Accounts Edit an Account command to make the change. Then the Call Customer command will call the correct number, and the Print Customer list command will print the correct data.
Adding an Advisor
Click on Advisors then Add a Advisor to add new advisors. Be sure to fill in the branch manager number and make a record of the password for the branch manager.
To terminate an advisor and Reassign the Advisor's Accounts
First step: Make an archival backup of the BOOKS data. Keep this backup indefinitely, at least until the time requirements for keeping branch tickets for all orders has passed. BOOKS will not allow you to delete an advisor who has any orders attached to his advisor number. However, you can reassign a terminated advisor's accounts to another advisor, and then delete the advisor.
Click on File Utilities and Reassign a advisor's accounts. From the first dialog, select the advisor whose accounts you wish to assign. In the second dialog, chose the first advisor to whom you wish to reassign some of the terminated advisor's accounts. In the account list dialog, click to select those accounts being reassigned. When you have selected a new advisor for all the advisor's accounts, then Click on Advisors, Delete Advisor
Now you can delete the terminated advisor. All orders placed by the terminated advisor will be retained in the BOOKS database and will show the original advisor's number in the Original Advisor field on the order ticket..
To replicate data from the advisor's computer's to the Branch Master file.
Replication speeds up BOOKS at the advisor's desk, and still keeps a complete Master file without re-entry of orders or exports. Use the server setup, then daily issue the replicate command to bring the master file into congruency with all advisors' data. In an office that has been using one Master file, you will perform a manual export of all of each advisor's data, install the BOOKS workstation version on each advisor's computer, using the data setup in the Network server installation. At the workstation, import the manually exported data. Click here to access directions for the network server configuration.
Handling direct orders to mutual funds and insurance companies.
With direct orders, you do not usually have a report or confirmation from your home office. One solution, since BOOKS will consider an order incomplete if it does not have an order taker, execution and confirmation is to use the information that comes from the fund. When you send an order to the mutual fund company directly, enter it into BOOKS with "Direct", Mail. or UPS as the order taker. (You might want to enter the tracking number in the Notes field on the ticket.) When you receive the statement from the fund showing that the order has been received, put that in the Execution area with Fund Statement as the Offset broker. Finally, when you see the commission on your trade blotter or commission statement, enter HO in the confirm field. You will always know where your direct orders are, and the View Open Orders command will let you see those orders that you need to check.
Clean-Up
|
|
