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Overview
Creating Compliance Segmentation reports in AdviserLogic can be accomplished in two ways. Understanding these methods ensures you capture the necessary compliance-specific details or additional client information effectively.
Compliance Segmentation via Tools
To create a Compliance Segmentation report, navigate to Tools > Compliance > Segmentation.
The functionality for creating Compliance Segmentation reports is identical to the general Instructions for Database Segmentation, however, the Segmentation report via Tools allows you to focus only on Compliance-related content.
💡Tip
You need access to Administrative Tools to create a Compliance Segment Report through Tools.
The landing screen is divided into two sections, the left houses the list of created Reports and a section to create and edit existing reports.
The right of the Screen holds a list of Compliance-related expandable options/segments. Expanding these options will show you an array of fields/subcategories that can be added to your Segmentation report.
To add a new report, select Add from the top left of the left section and enter the report details in the provided fields.
Enter the Report Name and Description, with any additional parameters within the left section empty fields and dropdowns provided. Then expand the options on the right section of the screen and select the tickbox next to the values you wish to include in the report.
Save and Download the report. Your report will be downloaded as an Excel file where each selected field is the heading of a column.
Fields Available
Use Compliance Segmentation to retrieve information about client fees and agreement status. These field sets offer comprehensive insights into compliance-specific details.
SFD (Service Fee Disclosure) | This section contains a list of fields relating to the client entity and the agreement entered into. |
SFD Fees | This section contains fields related to the fees for the client and agreement mentioned above. |
SFD Services | This section contains fields that are related to the services the client received. |
Define Filters
To further filter the fields in the report, reselect the saved report and select the Define Filters button that will now show.
A panel will open where you can further filter the chosen fields.
The first drop-down filters the table (i.e., the selected parent field).
While the second drop-down filters the field within the table.
The third drop-down filters the relational operator to be used relative to the previous selections.
Value
Determines the condition to check for. This field is directly related to the relational Operator.
Logical Operator
Is used to apply multiple filters to the data.
Example: If you require a report with two categories of clients selecting the OR operator will apply both filters and the segment will return records that match either of those conditions.
Begin Filter Group & Close Filter Group
Defines the priority of the selected fields: choosing filter group 1 inserts one bracket, while choosing filter group 2 inserts two brackets.
You can define the sorting of the fields as they will show in the report.
Conflicts
When generating a segmentation report you may sometimes receive an error message stating that the report cannot be downloaded. This is usually because the filters you have applied either conflict with each other or with the data.
If this happens please check the filters against the data and try regenerating the report after making corrections.
Compliance Segmentation via Database Segmentation
Access Database Segmentation
Select the Database Segmentation button in AdviserLogic and follow the Database Segmentation Instructions.
Select Fields
Scroll down the Fields to Display list and open the SFD options.
Select all the requisite fields and save them.
Define Filters
After saving the fields, further filter them by selecting Define Filters.
Apply the filters and Save.
Download Report
Selecting Download will generate an Excel report based on the fields and filters applied, providing a detailed view of the selected data.
By following these steps, you can efficiently create FOFA reports tailored to your specific requirements. For a detailed guide on creating database segments, please refer to the Database Segmentation Instructions.