Automatic Case Checks and File Reviews

Case checks’ and ‘File reviews’ can either be automatically selected or you can manually select new business for a Case check or File review. 

New business can automatically be selected if you have selected either a ‘Case check’ or ‘File review’ when an  adviser writes business that they are not specialised in as seen in the previous section.

Automatic file reviews can also be set up in the adviser T&C area. You can ask for a random percentage of new business to be selected and/or specific cases based on high-risk business categories. Also the type of advice can be selected, execution only, etc.

Setting up the automatic file reviews is done per adviser so you can tailor it to each individual rather than having one process for all  advisers.

To set up the automatic file reviews, select the adviser in the Compliance module and go to ‘adviser T&C’.