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Manual for Advisors

1. Overview
Dial-in Numbers
  1.1 Change Password
  1.2 Phone Numbers
  1.3 MiFID-Recorder App
  1.4 Consumption
  1.5 GoToMeeting
2. Recordings
  2.1 Existing Recording
3. Video* (optional)
  3.1 New Client
  3.2 Existing Client
4. Data Uploads* (optional)
  4.1 New Upload
5. Phone Directory* (optional)
6. Black-/Whitelist* (optional)

*Configurable settings, depending on your booked tariff package.

1. Overview

In the overview you will find informaDon about which name, how o[en and from which last IP address you logged into the web interface. This informaDon is provided for your security.

Below this, your telephone numbers that are acDvated for you are displayed. This means that telephone calls can only be recorded if you call clients (end customers) from these numbers. A maximum of two phone numbers are allowed per Advisor.
If you would like to change a telephone number, please contact your project administrator.

Dial-in Numbers

Both the hardware and the telephone provider must allow conference calls.

Spontaneous Demand

You are on the phone with a client and realize that a recording is required. You spontaneously acDvate the MiFID recorder via the “Conference Call” to start the recording.

  1. Inform the other party that you want to start recording the call now and that they should stay on the line for a moment.
  2. Add another party to the call and dial the dial-in number shown above for “Spontaneous Demand”.
  3. When prompted, enter the client’s telephone number and confirm the entry with the # button. The MiFID Recorder confirms the valid entry with the announcement “Thank you”.
  4. Activate the conference function so that you are connected to MiFID Recorder and your client at the same time.
  5. Recording of the call:
    Complete* (optional): The call is recorded immediately from start to finish. You cannot switch the recording on or off during the call.Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

General Demand

You know in advance that the entire telephone call needs to be recorded and call the client directly via the MiFID recorder.

  1. Dial the dial-in number shown above for “General Demand”.
  2. When prompted, enter the client’s telephone number and confirm the entry with the # button. The MiFID recorder confirms the valid entry with the announcement “Thank you”.
  3. Recording of the call:
    Complete: The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.

Selective Demand

You are not sure if it would be necessary to record the call. Or you already know in advance that the call is only to be partially recorded and can activate the recording during the call with the # button and deactivate it if necessary.

  1. Dial the dial-in number shown above for “Selective Demand”.
  2. When prompted, enter the client’s telephone number and confirm the entry with the # button. The MiFID Recorder confirms the valid entry with the announcement “Thank you”.
  3. Recording of the call:
    Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.
    Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

Direct Dial-In

You communicate a call number to your clients where all incoming calls can be recorded directly.

Variant 1: Client calls via the Dial-In number

  1. The client calls you via the “Direct Dial-In” dial-in number shown above. This is your Advisor-specific dial-in number, via which all incoming calls can be recorded directly.
  2. Recording of the call:
    Complete* (optional): The call is recorded immediately from start to finish. You cannot switch the recording on or off during the call.
    Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.
    Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

Variant 2: Client calls via Advisor number

  1. Define an advisor-specific phone number (e.g. extension) internally which you communicate to your clients and via which all incoming calls can be recorded directly. Set up a general forwarding to the “Direct Dial-In” dial-in number shown above for these calls on your telephone.
  2. All incoming calls are forwarded to the advisor’s stored “Call Number 1”. (If “Call Number 1” is a head number, the incoming calls are forwarded to “Call Number 2”).
  3. Recording of the call:
    Complete* (optional): The call is recorded immediately from start to finish. You cannot switch the recording on or off during the call.
    Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.
    Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

Note on extension number instead of client’s telephone number:

If the client’s telephone number is stored in the MiFID Recorder Phone Directory, the telephone number can be replaced with the client’s extension number.

a. When prompted, enter the client’s “Extension Number” in the telephone and confirm the entry with the # button.

OR

b. Append the client’s extension number directly to the dial-in number.

1.1 Change Password

If you want to change your password, enter the current or old password in the “Old Password” field. Enter the new password in the “New Password” and “Confirm New Password” fields. Now save your setting.

1.2 Phone Numbers

The phone number(s) that has/have been activated for you are displayed here. You can call the MiFID Recorder from this/these number(s) and will be recognized as a registered advisor.

The first number is called when a client calls you via Direct Dial-In.

“Set as destination for Direct Dial-In”: Click here to change the primary destination for Direct Dial-In. The second number becomes the new destination for Direct Dial-In.

1.3 MiFID-Recorder App

You can download the MiFID-Recorder app from Google Play or the App Store.

   

  1. Log in to the MiFID Recorder app with your Advisor login and password.
  2. Select the client’s telephone number in the app: You can either select the client from your “Phone Directory” or manually enter the client’s “Phone Number” and “Name (optional)”. If you have already called the client in the past, you can also select their phone number from the “History”.
  3. Select one of the recording options displayed:

General Demand

You know in advance that the entire telephone call needs to be recorded and call the client directly via the MiFID recorder.

  1. Start the MiFID Recorder app and select the client’s telephone number in the app.
  2. Press the displayed recording option “General Demand”.
  3. Recording of the call:
    Complete: The call is recorded immediately from start to end. You cannot switch the recording on or off during the call.

Selective Demand

You are not sure if it would be necessary to record the call. Or you know in advance that the phone call should only be partially recorded and can activate and possibly deactivate the recording during the call using the # button.

  1. Start the MiFID Recorder app and select the client’s telephone number in the app.
  2. Press the “Selective Demand” recording option displayed.
  3. Press the # button to start or stop the recording. Recording can be started and stopped as often as required during a call.
  4. Recording of the call:
    Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.
    Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

Spontaneous Demand

You are on the phone with a client and realize that a recording is required. You spontaneously activate the MiFID recorder via the “Conference Call” to start the recording.

  1. Inform the person you are speaking to that you are now going to start recording the call and that they should stay on the line for a moment.
  2. Start the MiFID Recorder app and select the client’s telephone number in the app.
  3. Press the “Spontaneous Demand” recording option displayed.
  4. Activate the conference function so that you are connected to the MiFID Recorder and your client at the same time.
  5. Recording of the call:
    Complete* (optional): The call is recorded immediately from start to finish. You cannot switch the recording on or off during the call.
    Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.
    Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

General Callback* (optional)

You already know in advance that the entire call needs to be recorded. The MiFID recorder will call you and then the client. The call is recorded immediately.

  1. Select the client’s telephone number in the app: You can either select the client from your “Phone Directory” or manually enter the client’s “Phone Number” and “Name (optional)”. If you have already called the client in the past, you can also select their phone number from the “History”.
  2. Select the General Callback recording option.
  3. The MiFID recorder will call you and then the client. The call is recorded immediately.

Selective Callback* (optional)

  1. Select the client’s telephone number in the app: You can either select the client from your “Phone Directory” or manually enter the client’s “Phone Number” and “Name (optional)”. If you have already called the client in the past, you can also select their phone number from the “History”.
  2. Select the Selective Callback recording option.
  3. The MiFID recorder will call you and then the client.
  4. The MiFID Recorder will now call you back, accept this call.
  5. Recording of the call:
    Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.
    Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

Spontaneous Callback* (optional)

You are on a call and would like to record it. You activate the MiFID recorder by having the MiFID recorder call you back and add it to the call via the Conference Call. The recording can be activated and deactivated using the # button.

  1. Inform your call partner that you are now starting the recording of the call and that they should stay on the line for a moment.
  2. Start the MiFID Recorder app and select the client’s telephone number in the app: You can either select the client from your “Phone Directory” or manually enter the client’s “Phone Number” and “Name (optional)”. If you have already called the client in the past, you can also select their phone number from the “History”.
  3. Press the “Spontaneous Callback” recording option displayed.
  4. The MiFID recorder will now call you back, accept this call.
  5. Activate the conference function so that you are connected to the MiFID recorder and your client at the same time.
  6. Recording of the call:
    Complete* (optional): The call is recorded immediately from start to end. You cannot switch the recording on or off during the call.
    Switch on/off* (optional): The call is not recorded immediately. You can switch the recording on and off during the call using the # button as often as you like.
    Switch on only* (optional): The call is not recorded immediately. You can switch the recording on during the call using the # button, but not switch it off.

Note regarding the call number when calling back:

Check the phone number displayed for the recording option “Spontaneous Demand (Callback)” that the MiFID recorder should call back, this should match your own phone number. You can select your desired phone number in the settings under “Phone Numbers”.

1.4 Change usage

Here you can see how many minutes of phone or video recordings you have made this month and how many GB of data you have uploaded this month. It also indicates whether you are authorized to use the app.

Storage time: indicates how long your recordings are stored.
Platform: indicates how many minutes of calls have already been made via the platform.
Storage: indicates how many minutes of recordings or data have already been saved on the platform

1.5 GoToMeeting

You can create a GoToMeeting link here.

  1. Click on “Create New Connection”.
    You can check the data and make settings in the table before finalizing the link.Email address: Email address which is stored for you at GoToMeeting.Name: Name that is stored for you in GoToMeeting.
    Created on: Date on which you created the link. This field is still empty as you are creating the link.
    Updated on:
    “From now”: All recordings that you make after creating the link are automatically imported.
    “From today”: All recordings you make from today onwards are automatically imported. This includes the recordings from today.
    “From this month”: All recordings that you make from this month onwards are automatically imported. The recordings from this month are included.
    “From last 5 days”: All recordings that you make from the creation of the link and the recordings that you have made in the last 5 days are automatically imported.
    Medium: Select the medium to be imported.
    Status: Here you can see the status of your link.
    Now it reads “Waiting for Link”, as you have not yet finished creating the link.
    Message: Errors that occur with the link are displayed here.
  1. Click on “Create Link”. The specifications of the link are displayed in the table.
    Email address: Email address that is stored for you in GoToMeeting.
    Name: Name that is stored for you in GoToMeeting.
    Created on: Date on which the link was created.
    Updated on: Date on which the link was updated.
    Medium: Indicates the medium of the imported data.
    Status: The status of the link is specified here.
    Message: Errors that occur with the link are displayed here
    Delete: Click here to delete the link.
    Update: Click here to update the link.

2. Recordings

In the list, you will see an overview of all the recordings you have made. If you are looking for a specific recording, you will find a search bar above the list in which you can search for the start time of the call, file name, destination number or note.

Client: Your company’s name.
Advisor: Name of the advisor who recorded the call.
Identification: Internal identification of the Advisor.
Transaction type: The transaction type describes which recording option the advisor selected for the recording.
File name: Name of the file of the recorded call or video chat.
Start time: Date and start time of the recorded call or video chat.
Duration: Duration in hours:minutes:seconds of the recorded call or video chat.
Size: Size of the file of the recorded call or video chat, depending on the duration of the call, among other things.
Destination: Phone number or name of the client with whom the advisor made the recording.
Name: Name of the client.
Edit: Click on “Edit/Display” in the table to edit or display the respective recording.

2.1 Existing Recording

You are now in the desired Recording and can enter a note for the recorded call here. Do not forget to “Save” your note.

Under Information you will find further call data such as ID, file name, advisor, destination number, start, end and duration of the recording. This information is used to make it easier to check the data and for your security.

A “Hash” is an md5 hash value file, which is used to verify the authenticity of the file. After downloading a recording, you can verify its authenticity by using an md5 file hash.

Under “Call” you can download the file or listen to it by clicking on the Play button (optional).

You can also download the “Call Data” with one click.

3. Video* (optional)

In the list you will see an overview of all clients for whom you have already created a client URL. If you are looking for a specific client, you will find a search bar above the list where you can search for their email or name.

Email: Email address of the client with whom you have conducted a video chat.
Name: Name of the client with whom you have conducted a video chat.
Video Chat: Press “Start” if you want to start a video chat with the respective client.
Edit: Click on “Edit” in the list to edit or display the respective client data.

3.1 New Client

To be able to use the video recording, you must first create a specific client URL for your client.

  1. Click on the “New Client” button.
  2. Enter the email address (*mandatory field) and, to make it easier to find, the name and telephone number of the client and click on “Save”.
  3. Send the displayed “Client URL” to your client and arrange a video appointment with them.
  4. At the agreed time, search for this client in the displayed list and click on “Video Chat”.
  5. As soon as the client has accessed the client URL, the video recording begins.

Note on the Client URL:

The same Client URL can be reused at any time for another video chat with this client, you do not have to create a new Client URL each time.

3.2 Existing Client

You are now on the page of the client you have already created and can change all of the client’s data here, such as email address, name, telephone numbers and client number. To save the changes, click on “Save”.

Video Chat: Click on “Start” to start the video chat with your client. The MiFID Recorder video chat opens in a new window. The client must also be present for the chat to start.
Client URL: This URL takes your client to the MiFID Recorder Video Chat. Click on “Copy” to copy the URL and send it to your client.
Mail to Client: By clicking on “Open Mail”, your mail server opens and you can directly send a mail with the Client URL to your client.

To allow other advisors to participate in a video chat with your client, click on the arrow on the right above “Save”.

Second Advisor URL: This URL will take additional advisors to the MiFID Recorder video chat. Click on “Copy” to copy the URL and send it to the advisors.
Mail to Second Advisor: By clicking on “Open Mail”, your mail server opens and you can directly send a mail with the Client URL to the other advisors.

Please note that the chat only starts when the main advisor and the client are present.

4. Data Upload

In the list you will see an overview of all data uploads. If you are looking for a specific file, you will find a search bar above the list in which you can search by upload time, file name or destination / note of the file.

Client: Your company’s name.
Advisor: Name of the advisor who uploaded the file.
File Name: Name of the file that was uploaded.
Upload Time: Date and time of the uploaded file.
Size: Size of the uploaded file.
Destination: Client name associated with this file.
Edit: Click on “Edit/Display” in the list to edit or display the respective file.

You are now in the desired Data Upload and can enter or customize a note for the uploaded file here. Don’t forget to “Save” your note.

Under Information, you will find further call data such as identification, file name, advisor, client name, destination number, email address and upload time of the file. This information is used to make it easier to check the data and for your security.

A “Hash” is an md5 hash value file, which is used to verify the authenticity of the file. After downloading a file, you can verify its authenticity by using an md5 file hash.

Under “File” you can download the file or listen to it by clicking on the play button (optional).

You can also download the “Metadata” with one click.

4.1 New Upload*

To upload the desired files, go to the “New Upload” menu item.

  1. Enter the client’s name (*mandatory field) and the client’s email address and telephone number for easier retrieval.
  2. Select one or more files.
  3. Enter a note for the uploaded files.
  4. Press “Upload” and wait until the process is complete.

5. Phone Directory* (optional)

Use the Phone Directory to simplify the handling of your clients’ phone numbers. Enter the phone number (*mandatory field) and the name of the client in an empty field and click on “Save”.

Henceforth, you can enter this “Extension Number” instead of the client’s telephone number for all requests from the MiFID Recorder or append it directly to each dial-in number.

Furthermore, the MiFID Recorder recognizes the client’s name for incoming calls and automatically adds it to the recordings

6. Black-/Whitelist* (optional)

You can choose whether you want to use a blacklist or a whitelist (both are not possible).
With a blacklist, stored phone numbers are excluded from the recording and all other phone numbers are recorded as usual. With a whitelist, only stored numbers are recorded, and all other numbers are excluded from the recording.

  1. Decide whether you want to use a blacklist or a whitelist and select this in the “Phone Numbers as” field.
  2. Enter the phone number with the country code and the name of the client in a free field. The name is only available for your overview, it doesn’t have to be used and is not taken into account in the system.
  3. Press “Save” to activate your blacklist or whitelist for incoming calls.

Note on blacklist/whitelist: Be particularly careful when using a whitelist, as just a single entry means that all other phone numbers are not recorded.

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