Systems & Tech FAQ Database

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Payroll | FAQs

Who do I speak to regarding my pay statement?

If you have any questions about your pay statement, feel free to reach out to your Supervising Portfolio Manager or Supervisor.

I have questions about my payroll - where can I view a breakdown of my pay?

Through the Systems & Technology tab within the Optimize Portal, you can access the Payroll Reporting system to view all the details pertaining to your monthly payouts. Feel free to reach out to yourSupervising Portfolio Manager or Supervisor for any payroll specific inquiries.

Could you please provide a copy of my Fee Statement?

Through the Payroll Reporting system, you can export the monthly statements of your payouts.

Compass | FAQs

How do I see the beneficiary information on an account?

View the beneficiary information on an account through the Custodian Portal by navigating to the My Accounts tab. Search for the particular client and navigate into the account, from which you can then click Account profile > Plan information to view account specific details including the designated beneficiary.

What do the transaction 'Entry Types' I see in my client's transaction history on Compass - My Accounts mean?

Refer to the below legend of transaction entry-types that you may see in the client's transaction history on Compass - My Accounts:

- TFR-IN: transfer-in that lands in the account
- TFROUT: transfer-out that leaves the account
- DIV: dividends paid into the account
- DRIP: dividend reinvestment
- INT: interest charged on the account
- E70: monthly management fee charged on the account
- HS4: HST amount associated with the monthly management fee charged on the account
- GS4: GST amount associated with the monthly management fee charged on the account
- C51: rebate processed to the account
- EXCH: Optimize fund series switches
- ACBADJ: average cost basis adjustment
- MFADJ: mutual fund adjustment
- ITFR: internal Transfer between accounts

Conquest | FAQs

Where is the client data stored?

Conquest Planning operates under a Software-as-a-Service (SaaS) model, with the software hosted on external servers (Amazon Web Services (AWS) in the UK) rather than on in-house servers.

Can clients directly edit their financial data on Conquest?

No, clients can view their financial plans but cannot directly edit the data. They can request updates through their wealth planner.

How often should financial plans be updated?

It is recommended to review and update financial plans annually or whenever there are significant life changes for the client.

How is client privacy protected on Conquest?

Conquest adheres to strict data privacy policies, encrypting data and ensuring compliance with regional and international standards.

What is SAM?

Conquest delivers a state-of-the-art, client-centric, and strategy-driven approach to solving client goals. SAM (Strategic Advice Manager) is a built-in intelligent assistant that proposes strategies based on the client’s specific circumstances and preferences. It leverages client demographics, data, sentiment, and best practices to recommend and display the next best financial decision.

For more information, refer to the SAM Knowledge Base Article

Is there a limit to the number of goals a client can set in Conquest?

There is no strict limit; goals can be tailored to cover various aspects of the client’s financial life.

Croesus | FAQs

How do I create a report to view the realized capital gains for the calendar year as of today's date?

To view the net realized capital gains for the calendar year within a client's account as of a particular date, you can generate a Gains and Losses (Realized) report through the Performance Reporting software - Croesus, adjusting the parameters accordingly.

Can I prepare a transaction report for a specific period on a corporate account?

Through the Performance Reporting software - Croesus, you have the functionality to generate a multitude of report types and variations including transaction reports for corporate accounts.

How long does it take to reset my Croesus password?

Please allow 1-2 business days after the request to reset Croesus password.

What are the costs associated with Croesus?

Croesus has an annual charge of $2,500

My Portfolio Plus | FAQs

What can client's do on the online access?

Online Access for clients is a view-only access. They do not have the ability to redeem or contribute funds through the online portal.

What kind of account information can clients see online?

Clients can view their account summary, detailed holdings, asset allocation, transaction history, market quotes, charts, and download documents like statements and tax slips.

In the Online Access Portal - MyPortfolioPlus, my client's full name is not displayed due to character limitations - can this be changed?

While there is a character limit when it comes to the account name displayed in MyPortfolioPlus, rest assured the name on the account-level is fully specified and you can confirm the account holder's name is correct within the account profile on MyPortfolioPlus by clicking on the account name bubble in the top left, as well as by viewing an account statement from the Documents tab.

Where can clients find their account statements and tax slips?

Statements, trade confirmations, and tax slips can be viewed and downloaded under the "Documents" tab. Clients can filter documents by account, statement type, or date range.

Can I view a client's contact information or document preferences from Online Access?

Yes, by clicking the client’s name bubble at the top left corner of their account page, you can see their contact details, financial profile, and document delivery preferences.

The Optimize Portal | FAQs

What are the main sections of the Optimize Portal?

The main sections of the Optimize Portal are: Home (Latest published resources, important dates, ecosystem, support), Documents, Systems & I.T, Investments, Training, and Resources.

Where do I find best practice guidelines and timelines for processing requests?

The Operations subsection provides handbooks detailing best practices and expected timelines for various internal processes, such as tax preparation.

Where do I submit and track service requests now?

Service requests are now submitted and managed directly within the middle panel of the client’s CRM contact record, simplifying access and tracking

What can I find in the Investment Research section?

This section contains market commentary, economic outlooks, scheduled investment conference calls, and comprehensive research reports from leading industry analysts.

Where can I find fillable PDF forms for client tax and estate preparation?

These forms are available under Service Documents and can be downloaded directly as fillable PDFs.

General | FAQs

How can I update my Drivers?

Windows Update Method (Recommended for general updates):

Click Start (Windows icon) → Settings (gear icon).
Select Update & Security → Windows Update.
Click Check for updates.
If updates appear, Windows will automatically install driver updates along with other system updates.
Restart your PC after completion.

Using Device Manager (manual method):

Right-click Start → select Device Manager.
Find the hardware category (e.g., Display adapters, Network adapters) and expand it.
Right-click on the device → Update driver.
Choose Search automatically for drivers.
Windows will find and install available updates.