Last updated: 7/2/2026
| FIELD | DESCRIPTION & GUIDELINES | EXAMPLES |
| Note Type | Normal – New — This is the default note type. | |
| Normal – New (Handwritten) — Used for text files or images sent through the App or via email that needs to be typed manually. | ||
| Follow-up — Used for standalone follow-up notes. | The wholesaler usually dictates: “To-do”, “Create a follow-up for ICA to…” | |
| Tasks — Select as specified by the wholesaler. | The wholesaler usually dictates: “This is a Task…”, “Please create a new task…” | |
| Opportunity — Select when the wholesaler dictates details for an opportunity. Please refer to the “Opportunity” section below for more details. | The wholesaler usually dictates: “Notes for opportunity…”, “Create a pipeline opportunity…” | |
| Reliance Entry — If the wholesaler’s recording/meeting note contains an expense, you’ll need to create an additional note and select Reliance Entry as the Note Type. Please refer to the “Reliance Entry” section below for more details. | ||
| CRM Modification — Use when processing CRM mod entries/requests specified by the wholesaler. | ||
| Internal Comments | If the note contains a To-do/Follow-up, place a comment here to alert the CRM entry person. If an attendee is non-US, place a comment here as well. |
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| Date | Populate the date as specified by the wholesaler. | |
| Weekend dates are acceptable and should be used if specified by the wholesaler, particularly for relationship-building or entertainment activities. | ||
| If there is no date provided and no clues based on the context, document this in IC to send a clarification email to wholesaler. | ||
| Time | Populate as specified by the wholesaler. We can use the following time assumptions:
Breakfast — 8:00AM |
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| First Name | Utilize this field to put both the contact’s first name and surname. | |
| If the wholesaler provided a nickname, input the full name in this field still, and add the nickname to the Last Name field instead. | ||
| If the wholesaler misspelled the contact’s name, capture the correct spelling in the field. | ||
| For expense-related activities, add the wholesaler’s name and/or other JPM employees included in the activity. | ||
| Last Name | Do not put the surname here. Only use this field to capture the nickname or email address if provided. | |
| CRD# | Always populate this field as verified in FINRA. Skip this field if there are multiple matches. | |
| Spelled Tickbox | Tick if the name was spelled. | |
| Follow-up Tickbox | Tick if there is a follow-up note needed. Only create a follow-up note if specified by the wholesaler or if there is an action item. | The wholesaler usually dictates: “To-do”, “Create a follow-up for ICA to…”, “Schedule a meeting with him..”, “[ICA Name], send him product information on…” |
| Firm/Office | Populate as specified by the wholesaler. If none specified but the contact is verified, populate this field to facilitate easier CRM entry. | |
| If the wholesaler and/or other JPM employees are included as an attendee (particularly for expense-related activities), input “JPMAM” in this field. | ||
| Location | Populate as specified by the wholesaler. If none specified but the contact is verified, populate this field to facilitate easier CRM entry. | |
| Group Tickbox | Tick if there are more than 2 attendees. | |
| Activity Type | Meeting — This is the default Activity Type. | |
| Call — Used for phone calls, conference calls, and voicemails. | The wholesaler usually dictates: “I called him”, “She called me”, “I left a message”, “This is an inbound call”. | |
| Other — Used for entertainment-related notes (no business/products discussed) and used together with “Follow-up” Note Type. | ||
| Tasks — Use if the selected Note Type is “Tasks”. | ||
| Activity Subtype | In Person Meeting/General Discussion — This is the default Activity Subtype. | |
| Attempted Call/Left Voicemail — Used together with “Call” Activity Type. | The wholesaler usually dictates: “I left a message”, “Left a voicemail for him” | |
| Call/General Discussion — This is the default if the selected Activity Type is “Call”. | ||
| Client Event / External Conference — Select as specified by the wholesaler. | ||
| Entertainment — For relationship-building/entertainment activities where no business or products were discussed. Used together with “Other” Activity Type. | ||
| Follow Up — Used together with “Other” Activity Type. | ||
| Gift — Select as specified by the wholesaler. Used together with “Other” Activity Type. | The wholesaler usually dictates: “Send a gift basket to my client…” | |
| Manual Email — Select this for emailed notes. Used together with “Other” Activity Type. | ||
| Quality Call – Inbound — Select when the wholesaler specifies “Quality Call” and the call was inbound. Used together with “Call” Activity Type. | ||
| Quality Call – Outbound — Select when the wholesaler specifies “Quality Call” and the call was outbound. Used together with “Call” Activity Type. | ||
| Schedule Only — Select as specified by the wholesaler. Used together with “Other” Activity Type. | The wholesaler usually dictates: “Create a Schedule Only entry for John Smith on [future date]…” | |
| Training Seminar — Select as specified by the wholesaler. Used together with “Meeting” Activity Type. | ||
| Virtual Meeting — Select as specified by the wholesaler or when virtual conferencing platforms are utilized (Zoom, Teams, etc). Used together with “Meeting” Activity Type. | ||
| Subject | Populate as specified by the wholesaler. | |
| If none provided, use the selected Activity Type. | If the Activity Type is “Call”, the Subject should be: “Call with [Contact Name]” | |
| In cases when there is no unique Subject Line provided by the wholesaler and the entry falls under default activities such as breakfast/lunch/dinner, use the following subject format: “Breakfast Meeting”, “Lunch Meeting”, “Dinner Meeting” |
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| Text | If the dictation contains a To-Do/Follow-up, capture this in the main note. No specific header is required for the To-Do/Follow-up, but place the action items/instructions in a separate paragraph so they’re easily identified. | |
| Status | Closed — This is the default Status. | |
| Open — Select this if the activity is future-dated or if the Note Type is set to “Follow-Up”.
Select this as well for Global Liquidity (GL) activities, Assign Leads, and “Schedule Only” Activity Subtype. |
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| Cancelled — Select as specified by the wholesaler. | ||
| Total Amount Spent for G&E | Expense amount for gifts and entertainment. Populate this field with the amount specified in the activity.
The format should be: $X,XXX.XX |
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| Total Number of Attendees | Populate this field if there is an expense for G&E.
The number of attendees should include the FAs, the wholesaler and/or other JPM employees present in the activity. Make sure to include the JPM wholesaler and other employees in the Attendee list. |
Example: Tony Stark Bruce Banner Steve Rogers Jeremy Rich (JPMAM WS) Total Number of Attendees: 4 |
| Funds Discussed | Select the funds or products that were specifically discussed in the activity. | Example: “He is interested in JEPI. I walked him through it…” — Tag JEPI |
| If a JPM product was mentioned in passing (not discussed), do not tag the product in the drop-down field. | Example: “I will introduce him to JEPI in our next meeting.” — Do not tag JEPI | |
| Funds Discussed (Tickers) | Use this field for funds/products not listed in the Funds Discussed picklist. | |
| Funds Discussed for EMEA | For EMEA wholesalers (Please check Salesperson / Territory). Select the funds or products that were specifically discussed in the activity. |
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| Other Funds Discussed for EMEA | For EMEA wholesalers (Please check Salesperson / Territory). Use this field for funds/products not listed in the Funds Discussed picklist. |
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| Competitor Fund Holdings | Populate as specified by the wholesaler. | |
| Select Theme | Select only if specified by the wholesaler. The most commonly used ones are: “Product Focused Meeting”, “ETF Meeting”, “Macro Meeting”. | |
| If the activity consists exclusively of JPM attendees, select “Internal / Partnership”. | ||
| Reverse Solicitation | Tick as specified by the wholesaler. | |
| Private Placement | Tick as specified by the wholesaler. | |
| Materials Used | Required if there is a cross border activity (if any attendee is non-US based or if the meeting took place outside of US). | If an attendee is non-US, place a comment in IC. |
| Yes, Material Attached — There is an attached presentation/image via the App or email. | ||
| Yes, Document ID Provided — If the wholesaler dictated/provided a Document ID number | ||
| No Materials Used — This is the default or if none was specified. | ||
| Document ID | Populate as specified by the wholesaler. | |
| Products/ Services | New Product/Service — This is the default. | |
| Existing Client Product/Service — The wholesaler provided updates on product/services already owned by the client.
This is also the default for cross border activity (if any attendee is non-US based or if the meeting took place outside of US). |
Example: “The client put in another $20 million in JEPI. Gave him an update on that.” |
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| No Product/Service Discussed — No funds was discussed and/or no product was tagged in the “Funds Discussed” field. | Example: “Met with John. We had a quick discussion on Guide to the Markets.” | |
| Related To | Populate as specified by the wholesaler. | The wholesaler usually dictates: “Relate this activity to this Opportunity/Campaign..” “Opportunity: [Name of Opportunity]” “Campaign: [Name of Campaign]” |
| Follow-up | ||
| Only create a follow-up note if specified by the wholesaler or if there is an action item.
The wholesaler usually dictates: “To-do”, “Create a follow-up for [ICA Name] to…”, “Schedule a meeting with him…”, “[ICA Name], send him product information on…” |
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| Type | Select To-Do | |
| Assigned To | Tick the radio button with the ICA name; however, if the to-do/ffup is for the wholesaler, skip the Assigned To field but make sure to indicate in IC that the ffup/to-do is to be tagged under the wholesaler. | |
| Due Date | Populate as specified by the wholesaler. If none provided, set to next business day from the date the file was received. | |
| Subject | Should begin with “To-Do,” and then copy/paste the main note’s subject if any. | Example: “To-Do, Lunch Meeting” |
| If the main note, in which the To-Do/Follow-up is related to, does not have a specified Subject line, put attendee name. | Example: “To-Do with John Smith” | |
| Text | Copy/paste the entire text from the main note except for the expense amount (if there’s any). | |
| Add to Outlook | Populate as specified by the wholesaler. | |
| Reliance Entry | |
| Expenses are processed separately from the main note for Reliance purposes. Create a new note and select “Reliance Entry” as the Note Type.
For fields that are not listed below, you can skip or leave them blank. |
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| Date & Time | Same as main note. |
| Selected Attendees | Same as main note. |
| Subject | Same as main note. |
| Text | Apart from the expense amount, include details relevant to the activity (location, restaurant, etc) in the note text. |
| Total Amount Spent for G&E | Same as main note. |
| Total Number of Attendees | Same as main note. |
| Opportunity | |
| Each opportunity must be entered separately for every contact and product combination (Example: Advisor A for Product X, Advisor B for Product Y, etc.). The Group tickbox can be skipped because group entries are not allowed for Opportunity processing.
For fields that are not listed below, you can skip or leave them blank. |
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| Date & Time | Use the same date provided in the main note related to the opportunity. |
| First Name | Utilize this field to put both the contact’s first name and surname. |
| CRD# | Always populate this field as verified in FINRA. Skip this field if there are multiple matches. |
| Spelled Tickbox | Tick if the name was spelled. |
| Firm/Office | Populate as specified by the wholesaler. |
| Location | Populate as specified by the wholesaler. |
| Text | Input the dictated notes related to the opportunity. |
| Opportunity Record Type | Funds Sales Opportunity — Select for Global Liquidity users |
| FA/Branch Driven Opportunity — Select for US Funds users | |
| Institutional — Select for NAI users | |
| Stage is Required | Required. Select as specified by the wholesaler. |
| Probability Percent | Required. Populate as specified by the wholesaler. |
| Decision Date MMDDYYYY Required | Required. Populate as specified by the wholesaler. The format is MM/DD/YYYY. |
| Expected Amount is Required | Required. Populate as specified by the wholesaler. |
| Comments | Populate as needed. Use this field if the product is not available in the “Fund or Products” drop-down. |
| Company Name is Generated | Automatically Generated in CRM. Populate as needed. |
| Opportunity Name is Generated | Automatically Generated in CRM. Populate as needed. |
| Sales Lead or Name of WS | Input the wholesaler’s name. |
| Fund or Products | Required, provided by the wholesaler. If not available in drop-down selection, indicate in Comments field. |
| CRM Modification | |
| When processing CRM modification entries, select “CRM Modification” as the Note Type.
For fields that are not listed below, you can skip or leave them blank (UCM Level, LOB Relationship, and Primary Trading ID). |
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| First Name | Utilize this field to put both the contact’s first name and surname. |
| Firm/Office | Populate as provided. Required if a firm/office is to be added or if a rep is to be moved to a different company or office location. |
| Location | Populate as provided. Required if a firm/office is to be added or if a rep is to be moved to a different company or office location. |
| CRM Modification (Location – Added) | Select if adding a new office location under a Parent Company. |
| CRM Modification (Location – Changed) | Select if updating office contact details. |
| CRM Modification (Firm/Office – Added) | Applicable only when creating companies. |
| CRM Modification (Profile – Added) | Select if a new rep profile has been created in the CRM. |
| CRM Modification (Profile – Changed) | Select if the rep’s profile information in the CRM has been updated. |
| CRM Modification (Profile – Merged) | Select if duplicate rep profiles in the CRM have been merged |
| Subject | Populate as needed. |
| Text | Populate as needed. |
Exercise Files