SMA. Quick Reference Guide

Transcription

1 SMA Quick Reference Guide 1

2 CONTENTS 1 Logging in 4 Customisations 2 Identifying the applicants 5 Additions and withdrawals 3 Creating the application 6 Reporting 2

3 LOGGING IN Login to the SMA via the login page 3

4 RESETTING YOUR PASSWORD The first time you log in you will be required to reset your password. If you ever forget your password click Forgotten password? on the login screen and you will be prompted to enter your username. A link will then be sent allowing you to reset your password. 4

5 WHEN YOU LOG IN Select Applications. 5

6 INVESTOR TYPES Any of the following investor types are able to open an SMA account: Individual Joint Investors Partnership Superannuation Fund Trust Company 6

7 CHECKLIST OF REQUIRED INFORMATION Listed below is the information required to open each type of account: Individual, Joint Investors and Partnership Company Name of investor(s) Investor(s) date of birth Investor(s) TFN Physical address Nominated bank account details Name of legal entity Name of director(s) Legal entity s ABN or TFN Physical address Nominated bank account details Trust and Superannuation Fund Name of trust or superannuation fund For individual trustee: Name of individual(s) Individual(s) date of birth For corporate trustee Name of legal entity Name of ALL directors ABN or TFN of trust or superannuation fund Physical address Nominated bank account details 7

8 CREATING A NEW APPLICATION Click Commence new application. 8

9 IDENTIFYING THE APPLICANTS Applicants are the people applying for the SMA Click Create new applicant if the applicant does not already have an SMA account. If the applicant already exists in the system, you can search for and select them. 9

10 IDENTIFYING THE APPLICANTS For new applicants, complete their personal and contact details. 10

11 IDENTIFYING THE APPLICANTS You can edit the details or add additional applicants if required. 11

12 CHOOSE THE ACCOUNT TYPE The application screens differ slightly depending on the account type you have chosen. The sections which are common to most non-super account types are shown in the following slides. 12

13 CHOOSE THE MODEL(S) TO INVEST IN When opening an SMA account you must link the account to at least one model. If the model is not known, select the Cash Model and change it prior to the receipt of the initial investment of funds/securities. Note, weightings must total 100%. 13

14 NOMINATE WHERE TO DIRECT INCOME You can choose to target income to specific models, or leave the default to direct income pro-rata across all selected models. 14

15 SPECIFY INITIAL INVESTMENT AMOUNTS BPAY BPAY is the default payment method. BPAY account information can be found on the printed application form. Direct Debit Select this option when the application money is available in the client s nominated bank account. Note: the daily cut-off time for direct debit processing is 3:00pm. In specie transfers If you are transferring shares into the SMA, you will need to complete the application, then use the Additions and Withdrawals > Transfer assets into the SMA screen in Platform & reporting to provide details of the transfer. 15

16 NOMINATE THE BANK ACCOUNT(S) Select the bank account for which you want cash contributions and withdrawals (or fee offset, income payment, and regular contribution plan amounts) to be taken from or credited to. 16

17 DEFINE BANK ACCOUNTS FOR EACH USAGE Note: debits occur on the 15th of each month or on the next business day. Enter any regular contribution amount. This will be deducted from the bank account and invested into the selected models. 17

18 SPECIFY THE ACCOUNT FEES GST will be added to the amounts entered. You can choose which model or models you want the fees to be deducted from. 18

19 CHESS REGISTRATION DETAILS Ensure you check the CHESS registration details for the account. The CHESS registration details are captured from the applicant s Name and Contact details. The Account Designation field allows for only 24 characters, as per CHESS regulations. For example, you would edit Smith Family Superannuat to Smith Family S/F. 19

20 REVIEW ACCOUNT DETAILS AND SUBMIT 20

21 REVIEW ACCOUNT DETAILS AND SUBMIT 21

22 PRINT, SIGN AND SEND THE FORM 22

23 EDITING OR CUSTOMIZING AN SMA To edit or customise an SMA account, when you first log in, you must select Platform & reporting. 23

24 EDITING SMA ACCOUNT DETAILS Select SMA > SMA Account Setup > Maintain an SMA Account to edit the account s details that you specified on the application. 24

25 MAKING ACCOUNT CUSTOMISATIONS Select SMA > Customisations to make security substitutions, place holding locks or specify minimum trade sizes. These are described in the following slides. 25

26 SECURITY SUBSTITUTIONS (OPTIONAL) You or your client may want to substitute one security for another (eg. when the investor already holds enough of one security). In this example, we substitute RIO for BHP. 1. Click Add to add a substitution or No Exclusions to continue to the next screen. 2. If adding a substitution, enter the security codes to exclude and replace and click Save. 3. At any time you can edit or delete the substitution recorded. 26

27 MINIMUM TRADE SIZE (OPTIONAL) We recommend you select Use Defaults. Click Continue to accept the default. The system default: 0.20% of your Account value per security, per trade for Accounts under $50,000; and $100 per security, per trade for Accounts valued at $50,000 and above. 27

28 HOLDING LOCKS (OPTIONAL) You may choose to lock your holdings for a specific security at a level of your choice. When rebalancing the account, the holding will be maintained at or above the selected level. 2. Or click Add to add a security lock. 1. Click No Holding Locks to continue to the next screen. 3. Then enter the Security Code and its Minimum Quantity to Retain. You can Edit or Delete the holding lock at any time. 28

29 HOLDING LOCKS (OPTIONAL) You may choose to lock your holdings for a specific security at a level of your choice. When rebalancing the account, the holding will be maintained at or above the selected level. 2. Or click Add to add a security lock. 1. Click No Holding Locks to continue to the next screen. 3. Then enter the Security Code and its Minimum Quantity to Retain. You can Edit or Delete the holding lock at any time. 29

30 ADDITIONS AND WITHDRAWALS Select SMA > Additions and withdrawals to access the screens which enable you to: Transfer assets into the SMA Make a Partial in-specie transfer out of assets from the SMA make adhoc payments and withdrawals (Cashflow instructions), or target cash additions or withdrawals to/from specific models (Cashflow instructions). 30

31 GENERATING CLIENT REPORTS From the menu bar, select Reporting > Reports. 31

32 GENERATING CLIENT REPORTS Select the type and date of your report. For this exercise we will create a Portfolio valuation report. 2. Select the Period ending date and click Generate. 1. Select Portfolio valuation report. 3. Report will be saved in My Reports. Click to open the report. 32

33 EXAMPLE REPORT An example Portfolio valuation report 33

34 YOUR SUPPORT TEAM Client Services Team Operating Hours: 8am 6pm AEST Phone: