Sample User Guide

I wrote this user guide for a new application that allows firms to group accounts into categories
and then define what products are available to accounts in those categories. The audience for
this guide is the business user, or users, who will setup the categories and products for their
firm. Sales representatives would not read this guide or use this application, but the categories
would define what products they could sell to their clients.

Overview
The ABC Profile module allows you to define what products are available to client accounts
based on their sample categories. The ABC Accounts module, an account can be categorized
by sample group and sample sub-group. In the ABC Profile module, you can create product lists
for those categories. The available entities are defined in the ABC Entity module, and your
entitlements will determine what entity or entities you have access to in the ABC Profile module.

About ABC Profile

The ABC Profile module uses the following terms:
• Sample category: A sample category is a combination of sample group and sample
sub-group, and the associated entity. The group and sub-group values are firm-
defined.
• Product: A product can be a specific product, a product type, or a product type and
sub-type. Products are added to sample categories to create shelves. You cannot
have a product without a category.
• Shelf: Entries in ABC Profile are known as shelves. A shelf represents the products
a client can 'choose' from, and is a combination of the sample category (sample
group + sample sub-group + entity) and its product or products.
• Sample profile: All the shelves associated with a single entity are referenced to as
the sample profile.
For example, a firm could have two sample categories defined in ABC Profile: Fixed Fee and
Best Interest Contract. The firm could then add a list of products to each category, creating a
shelf. Client accounts that belong to the Fixed Fee sample category would be able to invest in
the list of products defined for that shelf, but not in the list defined for the Best Interest Contract
shelf. The sample profile of that firm contains both the Fixed Fee and Best Interest Contract
shelves.
Creating a sample profile consists of the following steps:
• Define your firm's sample group and sample sub-groups (database tables).
• Assign the appropriate accounts to the appropriate groups and sub-groups (ABC
Accounts module).
• Add a sample category to an entity (ABC Profile module).
• Create a shelf by adding a product, or products, to the category (ABC Profile
module).
• Add any additional shelves to the entity (ABC Profile module).
 • Modify any shelves, if necessary (ABC Profile module).

Creating a Shelf
To create a shelf for an entity's sample profile, add a sample category to the entity, and then
add products to the sample category. You can add multiple shelves to a single entity. A shelf
only applies to its assigned entity, and that entity's subordinate entities.
Each shelf has an entity and sample category. There are four combinations for shelf records:
• Entity and one or more sample groups
• Entity, sample group(s), and one or more sample sub-groups
• Entity, sample group(s), and one or more products
• Entity, sample group(s), sample sub-group(s), and one or more products
These shelves are represented on the screen as a combination of the top Sample Category grid
and the bottom Target Product grid.
Subordinate entities will inherit the sample shelves of their parent entity. In the Sample Category
grid, an inherited shelf will have an Entity Level value of the parent entity. If the value is “Same”,
then the shelf is defined specifically for that entity. Shelves with the "Same" entity value take
precedence over inherited shelves.
You can add new sample categories to an entity, and then add products to that category.
Products can be added manually, or can be uploaded as a list to a single category.
Note: Entities with an asterisk (*) next to their names have shelves defined at their level.

Adding a Sample Category to an Entity

You can add a new sample category to an existing entity. If you want to override an inherited
shelf, add the same sample group and sub-group to the grid as the inherited shelf.
To add a sample category to an entity:
1. In the Entity Navigation pane, select the appropriate entity.
2. Select a sample group in the Group list.
3. If needed, select a sample sub-group in the Sub-Group list.
4. Click Add. The sample category appears in the grid.
5. Click Update.

Adding a Product Manually

You add product types, sub-types, or a specific product to a sample category. For example, you
can add all corporate bonds to a shelf, all corporate bonds that are certificates of deposit, or a
specific certificate of deposit product. The Target Product fields allow you to be as general or
specific as you want. You can add multiple products to a single sample category.
To manually add a product to a sample category:
1. In the Entity Navigation pane, select the appropriate entity.
2. In the Sample Category grid, double-click the appropriate sample category.
 3. If you want to add a specific product, enter a lookup in the Product Lookup field.

4. If you want to add a product type, select a type in the Product Type list.
5. If you want to add a product sub-type, select a type in the Product Sub-Type list.
6. Click Add. The product appears in the grid.
7. Click Update.

Adding Products with Excel

You can use the upload functionality to quickly upload multiple products to a sample category.
You can create different products lists for your sample shelves, and then upload them to the
correct category. The upload process will add products that do not currently exist in the shelf,
but will not edit or delete existing products.
ABC provides a Microsoft Excel spreadsheet in the correct format for the upload functionality,
but you can create your own file. The spreadsheet contains the following headings:
• CUSIP
• Symbol
• Description
• Product Type
• Product Sub Type
In the spreadsheet, you can enter product information for multiple products, and then upload the
spreadsheet to an existing sample category. You can also create multiple worksheets for
different product lists instead of making a new Excel workbook. This will allow you use the same
Excel file, and then choose from a list of sheets.
Note: Format all the Excel cells as Text, not as General or any other category.
When entering information into the Excel file, you can only use the following combinations:
• CUSIP or Symbol
• CUSIP and Symbol
• Product Type
• Product Type and Sub Type
Note: Leave the Description column blank. If you enter a CUSIP and/or Symbol into the
spreadsheet, the Description field for that row will automatically populate when you upload the
file.

Uploading Products to a Shelf

Using a single spreadsheet, you can upload multiple products to a shelf at once.
To upload products to a shelf:
1. Open the ABC upload spreadsheet in Excel.
2. Enter the product or products you want to add to the shelf.
 Note: Each spreadsheet should contain a list of products for a single shelf. You can
add multiple sheets to the file, but you can only upload one sheet at a time. You can
also reuse sheets for other shelves.
3. In the Entity Navigation pane, select the appropriate entity.
4. In the Sample Shelf area, double-click the appropriate sample category. The Upload
button becomes available.
5. Click Upload. The Open dialog box appears.
6. Browse to the upload file, and then click Open. The ABC Profile – Upload screen
appears.
7. In the Select Sheet list, select a sheet with the products you want to add.
8. Click Upload Sheet. A message box appears.
9. Click OK. The products appear in the Target Product grid.
Note: You can upload multiple product sheets to the same category.
If your sheet is incorrectly formatted, an error message appears. Click Show to view
a list of the errors. Any correct rows in the sheet will appear in the grid.
10. Click Update.

Modifying an Existing Shelf

The ABC Profile module allows you to modify shelves on the entity level. You can edit existing
products, delete products, or delete existing shelves. If you delete an existing shelf, it will delete
the sample category and its associated products.

Viewing an Existing Shelf

You can view an existing shelf based on your available entities.
To view an existing shelf:
1. In the Entity Navigation pane, select the entity you want to view.
or
Drill-down to find the entity you want to view, and then select it.
2. In the Sample Category grid, double-click the shelf you want to view. If there are
products available for that shelf, they will appear in the Target Product grid.

Editing an Existing Product

You can edit an existing product that is associated to a sample category.
To edit an existing product:
1. In the Entity Navigation pane, select the appropriate entity.
2. In the Sample Category grid, double-click the appropriate sample category.
3. In the Target Product grid, double-click the product you want to edit.
4. If you want to change the specific product, enter a lookup in the Product Lookup
field.
5. If you want to change the product type, select a type in the Product Type list.
6. If you want to change the product sub-type, select a type in the Product Sub-Type
list.
7. Click Edit. The edited product appears in the grid.
 8. Click Update.

Deleting a Product
You can delete an existing product from a shelf.
To delete a product from a shelf:
1. In the Entity Navigation pane, select the appropriate entity.
2. In the Sample Category grid, double-click the appropriate sample category.
3. In the Target Product grid, double-click the product you want to delete.
4. Click Delete.
5. Click Update. The product no longer appears in the grid.

Deleting a Shelf from an Entity

You can delete existing shelves from an entity's sample profile.
To delete a sample category from an entity:
1. In the Entity Navigation pane, select the appropriate entity.
2. In the Sample Category grid, double-click the appropriate sample category.
3. Click Delete.
4. Click Update. The sample category no longer appears in the grid.