Maintaining Resolution Lists

Authorized operators may be able to maintain resolution listsA resolution list is a list of valid values for a particular field (property) related to resolving transactions or assets in SalesConnect. That is, a resolution list is a special type of validation list; entries in many resolution lists not only define valid field entries, but also may define filter rules that determine how incoming transactions and assets are handled in SalesConnect., so that more records pass systematic resolution. As part of managing these lists, you may be able to set appropriate filter rulesA filter rule defines a data condition to be checked on incoming transactions or assets during systematic resolution; it is used to determine whether matching transactions or assets are marked for exclusion from SalesConnect, marked as pass-through, or marked as no sales (values associated with the records should be disregarded in SalesConnect reporting and summarization). Filter rules may be applied to trading aliases and to a number of other types of data as well, including entries defined in some resolution lists. Resolution rulesets are another way to define rules that affect systematic resolution. and transaction account labelsA label is like a tag, a convenient way for you to mark records so that you can easily find and work with them later. Most labels are tagged to key connections. For instance, you could create a label called "Top Reps," and then assign this label to the top-producing reps with which you work. Since you can search for connections with a particular label assigned to them, you can easily retrieve the list of reps who have been assigned this label. However, you can also define transaction account labels that may be systematically applied to the transactions and assets imported to SalesConnect, so that it's easy to find and work with those transactions and assets later. as well. See Filter Rules and Transaction Account Labels for more details. See Maintaining Transaction Account Rules for more on maintaining this other critical component of systematic resolution.

1. Using the Data Operations personaA persona is an interface set of menus and dashboard or home view that was designed for a single set of operators who share goals, skills, attitude and behavior patterns. Each persona's interface displays only the content and tools that are relevant for that group., select Lists from the Resolution menu. Or, select in the universal menu, and then select Resolution List Editor under Resolution.

2. Select the list you want in the List field; the page now shows a description of the selected list and a table with its list entries. You may be able to use Filter to begin filtering the listed entries, to make it easier to find the ones you want. Once a list is shown, you can:

   Define a label in the Transaction Account Label list

   1. With the Transaction Account Label list active in the List field, select Add above the table. An Add Transaction Account Label page is shown.
   2. Complete the Label ID and Description fields to set the internal ID and displayed text for the label, respectively.
   3. When you have finished, select Save.
   Add entries and/or filter rules in other resolution lists

   1. With the list you want active in the List field, select Add above the table. An appropriate Add page is shown.

   2. Complete the page's fields as needed for the entry.

      If Transaction Filter Rule and/or Asset Filter Rule fields are available, you can use them to set how records with the current list value are handled during systematic resolution. However, we recommend that you use a transaction account rule instead, so that most of the rules for handling may be reviewed in one location. To use these fields:

      • Select Exclude to mark matching records for exclusion from SalesConnect's tables of record for trades or assets
      • Select Pass-Through to mark matching records as ones that can be linked to an officeAn office is a connection in the intermediary business hierarchy, an organization subordinate to a broker/dealer firm. Offices are also sometimes referred to as "branches'; institutional firms have branches in SalesConnect. An office is affiliated with a single broker/dealer firm, and may have one or more reps directly affiliated with it. An office may have associated office contacts, as well. Possibly the most critical information you can track for offices are aliases, also known as trading IDs. Aliases are the IDs that associate transactions with each office. If you need to write queries or reports: The primary data for offices is stored in the Office table. Information about office trading IDs is stored in the Office Alias table. or firmA broker/dealer firm (or broker dealer or broker-dealer) is a connection associated with intermediary business, typically a top-level organization in this hierarchy. Broker/dealer firms are also sometimes referred to as just "firms" or "brokers" or "dealers" or "financial institutions." Each broker/dealer firm may have one or more offices affiliated with it, and through these offices, reps may also be affiliated with it. A broker/dealer firm may have associated firm contacts, as well. Possibly the most critical information you can track for broker/dealer firms are aliases, also known as trading IDs. Aliases are the IDs that associate transactions with each broker/dealer firm. If you need to write queries or reports: The primary data for broker/dealer firms is stored in the Firm table. The Firm Alias table stores trading IDs associated with broker/dealer firms., but that don't need to be matched to a responsible repA rep is perhaps the most important contact connection in the intermediary business hierarchy. Each rep is an individual who sells funds and is affiliated with an office (and through the office, with a broker/dealer firm). Reps may also be referred to as "financial advisors." Possibly the most critical information you can track for reps are aliases, also known as trading IDs. Aliases are the IDs that associate transactions and assets with each rep. If you need to write queries or reports: The primary data for reps is stored in the Contact and Rep Profile tables. The Rep Alias table stores trading IDs associated with reps. or partnershipA partnership is a contact connection in the intermediary business hierarchy, though it is really a name for a group of reps working together to sell one or more products. A partnership, sometimes called a rep partnership, is treated as a special type of rep: this means that most of the tools for working with reps may be used to work with partnerships as well. Most views of transactions associated with an individual rep generally don't include transactions or parts of transactions that the rep may have cleared as part of a partnership. Instead, these kinds of trades are listed only for the rep partnership. Each member's portion of rep partnership sales data is always based on the percentages currently assigned to each member; no long-term historical information about percentages is maintained. SalesConnect does not store any calculated trade or asset values based on rep partnerships. If you need to write queries or reports: The primary data for partnerships is stored in the Contact, Rep Partnership, and Rep Profile tables. The Rep Alias table stores trading IDs associated with partnerships as well as reps., as is usual in SalesConnect. (In effect, you're saying it's okay to just pass these records through without full matching data.)
      • Select No Sales to mark matching records as ones that won't be included in summarization or sales reporting numbers in SalesConnect.
      • Select None if you don't want a filter rule for this value.
   3. When you have finished, select Save.
   Change an entry in a list

   1. If the table includes editable fields, change values as needed, and then select Save.
   2. If what you want to change can't be edited in the table, select the link for the entry you want to change. A full page view of the entry's settings is shown.

   3. Complete information for the entry as needed.

      If Transaction Filter Rule and/or Asset Filter Rule fields are available, you can use these to set how records with the current list value are handled during systematic resolution. However, we recommend that you use a transaction account rule instead, so that most of the rules for handling may be reviewed in one location. To use these fields:

      • Select Exclude to mark matching records for exclusion from SalesConnect's tables of record for trades or assets.
      • Select Pass-Through to mark matching records as ones that can be linked to an office or firm, but that don't need to be matched to a responsible rep or partnership, as is usual in SalesConnect. (In effect, you're saying it's okay to just pass these records through without full matching data.)
      • Select No Sales to mark matching records as ones that won't be included in summarization or sales reporting numbers in SalesConnect.
      • Select None if you don't want a filter rule for this value.
   4. When you have finished, select Save.
   Delete entries from a list

   • In the table, select the checkboxes for each entry, and then select Delete. You may be prompted to confirm this.