eSignature is Now in Beta Testing
The Regal team have been working hard on the rollout of eSignature to the Advisor field. There are currently five Advisors in the field that are set up for the eSignature platform in COMET that are working through the beta testing of the platform. In the past week we have gotten some very helpful feedback from the beta testers and are moving the testing forward.
Some topics that came up through the beta test are:
Device compatibility: DocuSign and COMET are completely compatible with iPad and Android tablets. The user can easily navigate through Starting Point, fill out the necessary forms and send for signatures on all iPad, Android tablets and computers!
Client Experience: The client will need to have a unique email address and be able to pass the authentication process in order to eSign the documents. There are three authentication methods available for clients; Knowledge based authentication, SMS text or phone-voice authentication. The client can either be with the advisor in person and utilize the eSignature process or can be in a remote location, the process will remain the same with the difference being that if the client is in person they can sign on the same device that the paperwork was completed on (advisor tablet, etc.) or if they are in a remote location the documents are emailed to the client.
eSign NIGO: The built in validations in COMET will help to reduce the likelihood of NIGOs by requiring all necessary fields to be completed before it is sent for eSigning. However, if it the work item is deemed NIGO it is possible to void the current signed documents, retrieve for correction and send back for another round of electronic signature
Keep your eye on your email for further updates on the implementation of eSignature!
With the implementation of eSignature the Regal Client First Commitment and Investment Policy Statement have been updated to include an additional client signature. With the updated forms, Advisors can now submit one Client First Commitment or Investment Policy Statement for one joint account, instead of duplicating these documents for a joint account.
Please note, a joint Client First Commitment or IPS will not be accepted for an individually owned account. For individually owned accounts an individually signed Client First Commitment or Investment Policy Statement will be required.
These updated forms are now available in the COMET forms library under Form Author Regal Investment Advisors (Client First Commitment and Investment Policy Statement) or Regulus Advisors (Client First Commitment).
Regal Q4 Update Webinar – November 25th, 2019 at 3pm EST
The Regal team will be hosting an important Regal Update webinar on Monday, November 25th at 3pm EST. This webinar will cover important upcoming updates from the Operations/Service and Compliance team. If you are unable to attend the webinar a recorded version will be available after the live date. This webinar will include various updates on policies and upcoming technology rollouts.
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If you have any questions, please contact the Client Services Team at 800-357-4757 or firstname.lastname@example.org.