Active Reviews
It’s time for a new Active File Review process!
A New Year brings the beginning of a new era in compliance. This year we are launching our ‘active’ file review process, which sees us working with you each quarter to review part of your advice processes and documentation.
The active file review process has two components: pre-vet review and ongoing file review. You will experience the Pre-vet Review Process three times every 12 months and the Ongoing File Review Process once every 12 months.
Our Goals:
- Coaching sessions with actions that can be immediately implemented into your advice.
- A process which enhances the Adviser/client relationship.
- A review process which provides reassurance that your processes are in line with current obligations.
Here is a look at the two processes:
2021 Rollout:
Quarter 1
We have selected a group of Advisers to participate in the new process during Quarter 1. You will receive an email notifying you if you are part of this initial rollout. If you are currently on pre-vet, you will receive a separate email.
Quarter 2
The Advice File Review program will be rolled out to all Advisers. You will receive an email from the Advice Coaches in Mid-March which will outline the steps involved in the process.
We are looking forward to working with you as we adopt the Active File Review Process.
In this Edition:
Active Reviews
It’s time for a new Active File Review process!
A New Year brings the beginning of a new era in compliance. This year we are launching our ‘active’ file review process, which sees us working with you each quarter to review part of your advice processes and documentation.
The active file review process has two components: pre-vet review and ongoing file review. You will experience the Pre-vet Review Process three times every 12 months and the Ongoing File Review Process once every 12 months.
Our Goals:
- Coaching sessions with actions that can be immediately implemented into your advice.
- A process which enhances the Adviser/client relationship.
- A review process which provides reassurance that your processes are in line with current obligations.
Here is a look at the two processes:
2021 Rollout:
Quarter 1
We have selected a group of Advisers to participate in the new process during Quarter 1. You will receive an email notifying you if you are part of this initial rollout. If you are currently on pre-vet, you will receive a separate email.
Quarter 2
The Advice File Review program will be rolled out to all Advisers. You will receive an email from the Advice Coaches in Mid-March which will outline the steps involved in the process.
We are looking forward to working with you as we adopt the Active File Review Process.