Available instruments setup for quote documents

In order to generate a quote that can be accepted inline with available instruments, the correct available instruments need to be selected on a product, brokerage and adviser.

On a product: More actions->Available instruments
On a brokerage: Brokerage card->More actions->Available Instruments
On an adviser: Adviser card->More Actions->Available instruments

As an example:
Available instruments on Product X: A, B, C
Available instruments on Brokerage Z: A, D, E
Available instruments on Adviser Y: A, D

Only instrument A will be available to be added to an instruction, where the product is X, the brokerage Z and the adviser Y

In addition, on a brokerage the products available to the advisers of the brokerage can be set (Brokerage card->View Details->More actions->Available products)
If an adviser logs in and generates a quote, and select a product that is not an available product on his/her brokerage, a message will appear ‘Adviser is not compliant with product: XXX’ and the quote will not be able to proceed.
If a BDM logs in and generates a quote, and select an adviser where the brokerage does not have the product available, a message will appear ‘Adviser is not compliant with product: XXX’ and the quote will not be able to proceed.

NOTE: None of these restrictions will apply if the user has the global permission ‘Compliance override’.

Also see Quote Document on an Investor Account

Last Updated on 2 years ago by Antoinette Van Meyeren