How do I carry out file-checks?

File-checks allow designated users – usually compliance officers – to inspect the research created by other members of their firm.(This only applies to client-focused research. Product-focused research cannot be viewed in a file-check.)

You can start a file-check in two ways:

  • Use the File check option on the menu bar of the home page. This displays a search form for finding research by other people.
  • Open the details of the user you want to check in your firm’s user list, and then use the File check option on the menu bar of the user-details page. This opens the same form as the above, but pre-populates the user name.

(These links are only displayed if your system administrator has given you permission to carry out file-checks. See below.)

The file-check search form is illustrated by the screenshot below. You can look for research based on any or all of: the adviser’s name,the client’s surname, the product or research type and the date the research was last modified. The first screenshot shows an example of all the research ever conducted by all users.

You can then view the research you want to inspect simply by clicking on it.

The research is opened in read-only mode, as it is still “owned” by the original adviser. You will be able to see the all of the selections made on the Features, Sectors, Conditions or Stats tabs, but you will not be able to change them. You will also be able to see the list of contracts still available.

You can also view the ranking scheme the adviser has set up and reproduce Quick Reports or suitability reports.

If you do want to be able to experiment with changes to the research, then there are two options:

  • Create your own copy of the research, in the usual way by clicking on the Copy link in the menu bar. The copied version of the research is “owned” by you, and therefore you can change it (without affecting the original).
  • Ask the adviser to send their research to you. You can then amend it and send it back.

Giving users the ability to carry out file-checks

System administrators give users the ability to carry out file-checks by opening the list of their firm’s users, opening the details of the user, and switching on the account permission labelled “Allow this user to carry out file checks”.