Enhancement Release 12.1.0 -Attestation -Advisor Experience
- Chantel Munroe
Key Dates:
UAT Testing -September 12th-October 3rd
Production Go Live -Week of October 7th
Advisor Experience:
Following the foundational changes made in the 12.0.0 release, we have introduced the following enhancements to the Advisor experience while completing Attestation.
Retention of Previous Responses
To provide a more efficient attestation experience for Advisors, we have implemented the following enhancements:
Retention and display of previous responses.
Retention and display of previous documentation.
No Change Indicator & Warning Banner
As a Compliance requirement, Advisors will be required to indicate if there were 'No Changes' made to their previous disclosures.
An information banner has been added to guide them through the process.
Advisors are required to select 'No Change' if there are no edits made to their previous responses.
If any edit to made to previous response, the 'No Change' checkbox will be disabled. This includes changes to:
Yes/No Radio Button
Text
Documentation
Advisors will be unable to navigate to the next page until all questions are either modified or the 'No Change' button has been selected.
If an Advisors modifies their response and then immediately reverts back to the previous response, the system will recognize that no change has been made and the Advisor will be required to select the 'No Change' checkbox for that question.
However, once the Advisor navigates to the next screen we will no longer be able to track the original response.
If they were to go back to a previous screen to edit the response and revert back to its original state, that change would be seen as an 'edit' and they will not be required to select the 'No Change' checkbox.
Disclosure Pop-Up
As a compliance requirement, at the end of the Attestation process we have introduced a pop-up prior to signing Attestation, where Advisors must confirm they have reviewed and provided valid disclosures.
Confirmation of this declaration is required to sign and complete the attestation.
Go Live: August 21st, 2024 (V12.1.0)
Ticket # | Summary | Description | Area of Impact |
|---|---|---|---|
SD-55202 | Attestation -Retain all Responses | Following the foundational Attestation release 12.0.0 deployed August 7th 2024, Apexa has implemented response retention during the Attestation process to make the process more efficient to Advisors. All previously provided responses in the Sponsorship and Compliance sections will be visible during Attestation process. Retention of responses applies to answers provided during profile onboarding and when edits are being made to existing profiles. | Attestation - Enhancement |
SD-51219 | Attestation -Retain all Documents | In line with SD-55202 above, document retention has also been implemented. All previously provided documents in the Sponsorship and Compliance sections will be visible during the Attestation process. Retention of responses applies to answers provided during profile onboarding and when edits are being made to existing profiles. | Attestation - Enhancement |
SD-55314 | Attestation -"No Change” Indicator | Users will now be required to select a ‘No Change’ checkbox for every question in the Sponsorship and Compliance section during attestation if the response is not edited. If an edit is made to the previous response (radio button, text or documentation) they will not be required to indicate ‘No Change’.
| Attestation - Enhancement |
SD-55879 | Attestation -Warning Banner | Following the introduction of the 'No change' checkbox, a warning banner to inform Advisors on the use of the checkbox has been implemented. This banner is displayed at the top of all pages in the Sponsorship and Compliance sections, during the attestation process. | Attestation - Enhancement |
SD-55221 | Attestation -Declaration Pop-Up | A pop-up window will be displayed as the last step of the Attestation process prior to signing Attestation to ensure the Advisor acknowledges their disclosures are accurate and complete. | Attestation - Enhancement |
SD-41570 | Technical Item | Modify and improve back end feature which allows Apexa to deploy code changes in a disabled state | Internal -Technical |
SD-60398 | Penetration Test Low Finding -Information disclosure through response headers | A vulnerability was identified in a header that provided sensitive details. This vulnerability has been addressed | Application Security |