Within the Financial Services industry, it is a compliance requirement to ensure that any advisers working on behalf of your company are competent advisers and remain so. Regular observation of their performance is an important part of this process. This article shows you how to record these observations within CCD.
From the Main Menu click on Compliance on the left hand side of your screen and click on the adviser concerned. Click on the Adviser T&C button on the left of your screen followed by the Observations sub-option on the left hand side: You may record details of the next observation in the top half of your screen. To add a new observation click on the Outstanding tab and + Add record on the right hand side of your screen and confirm that you wish to add a new record.
Enter details of the observation including the Observation type; this list can be edited to suit your needs. Any forms that you complete in an electronic format, e.g. Microsoft Word or Excel document can be attached to the record. To do this click on the Review form tab at the top of your screen then drag your document and drop it into the white page on the right hand side of your screen: