Overview
Signer Roles
eSignature Tags

- Identify Recipients
- Tag Proprietary Advisor Documents

Overview

If entitled, upload PDFs of your proprietary advisor documents to accompany Fidelity forms during a new account opening event. Use this capability to provide a consolidated eSigning experience for your end-customer.

Prior to uploading the proprietary documents, you must identify the signer roles at your firm associated with the eSignature ceremony. (Signor Roles)

Limitations

• Uploaded proprietary documents are not saved in Fidelity's permanent records. They only persist in the session for the explicit purpose of the eSignature ceremony and are deleted following it.
• Proprietary documents are not viewable from within Service Center either during the signing session or during Home Office approval.
• Signed copies of proprietary documents are not sent to Fidelity and are only retrievable directly from DocuSign.

Note
To upload proprietary, eSignature-enabled documents to the Account Opening/Transfer of Assets tool, you must have the "WC AOTOA Advisor Doc and ESIG" entitlement. This entitlement is assigned by the system administrator or person with a similar role at your firm.

Signer Roles

Possible signer roles are described below. A signer only sees the documents within the eSignature envelope that they are required to sign.

DocuSign stores the contents of an envelope for 14 days before it is purged. As a best practice, the document recipient and advisor signer should retrieve signed copies from DocuSign as soon as possible.

• Investor Signer
• Advisor Signer (If applicable)
• Document Recipient

Investor Signer

An investor signing a consolidated envelope:

• Receives a request from DocuSign to sign documents.
• Performs authentication using Knowledge Based Authentication.
• In addition to signing Fidelity forms, signs the advisor proprietary documents.
• Confirms the signing after all signatures are completed.

Advisor Signer

An advisor signing own proprietary documents, if applicable:

• Receives a request from DocuSign to sign documents.
• Performs authentication using the Access Code specified during the AO/TOA process.
• Signs the proprietary documents. (Only the proprietary documents are available for viewing and signing.)
• Confirms the signing after all signatures are completed.

Document Recipient

The final document recipient following completion of the ceremony:

• Receives a request from DocuSign directing them retrieve the final signed documents.
• Performs authentication using the Access Code specified during the AO/TOA process.
• After all signers have signed, retrieves the final signed copies of all documents from the envelope.

Identify Recipients

1. In the Document Recipient section, indicate who will receive the final signed copies of your firm's proprietary documents:

   - Enter First Name, Last Name, and Email.
   - Firm Name is optional.
   - Enter the eight-digit Access Code to be used to retrieve the signed documents.

   Note
   As a best practice, to retrieve your firm's documents from DocuSign, always use the same eight-digit Access Code. If lost, you will not be able to include your proprietary documents as part of the eSignature ceremony.

2. From Advisor Signer, indicate the individual at your firm to sign the documents, if applicable:

   Use above recipient
   Add new signer
   Advisor is not a signer

3. If you selected Add new signer, enter First Name, Last Name, Email, and Access Code.

4. In the Upload Advisor Documents section, select Upload to upload up to three PDFs.

   - Each document can be up to 6MB.
   - Documents must be tagged prior to upload. (Tag Proprietary Documents)

   Note
   If you navigate away from or reload the AO/TOA page, attached documents are removed and you must upload them again.

Tag Proprietary Advisor Documents

Tagging involves creating a PDF and, using Adobe Acrobat or a similar PDF editor, assigning eSignature tags to locations within the PDF where you want signers to sign, intial, or date, etc. When you tag a field, the signer must take some action, whether it be eSigning or editing. Often, it is necessary for the signer to provide a signature in multiple places within a document.

Documents need only be tagged once. After it is tagged, the document is eligible whenever it is applicable for an eSignature ceremony. Take time to first identify the signers for your proprietary document and which document tags to use based on the account holder sequence in AO/TOA. (eSignature Tags)

Note
You must have Adobe Acrobat or a similar PDF editor to tag your proprietary advisor documents. The following process describes tagging using Adobe® Acrobat® Pro; your process may differ slightly if using a different editor.

1. Open the PDF in Adobe Acrobat.
2. Select Tools > Prepare Form.

3. To tag for signatures, dates, and signer names:

   - On the Prepare Form toolbar, select the Add a Text field icon.
   - Position the Text field over the area in the PDF to tag, and click.
   - In the Field Name box, enter the appropriate eSignature tag.
   - Verify tag is formatted correctly, including capitalizations and underscores.
   - If tagging a signature area, select the Required field check box.

   Repeat step 3 until all required locations are tagged.

4. Save the tagged PDF as an Adobe PDF Files type.

   The document is now ready to upload on the Advisor Document Management window.

eSignature Tags