|CCD can automatically select new business entries for file reviews. You can ask for a percentage of new business to be selected and/or specific cases based on high risk business categories, or policies sold in place of others etc. Once selected, an on screen checklist is presented for the supervisor to follow and assess the client’s file.|
In order for the system to know your preference you must first set up the basis that you wish it to select files for checking for each Adviser you supervise. To do so select Compliance from the front page, choose the Adviser you are working on and click onto their name. On the left hand side choose Adviser T&C. You now need to select the File Review tab:
Before you can start file checking you must enter the necessary information into the first two tabs. These tab are entitled Routine and Risk Based.
Firstly, in the Routine tab choose how many files, for every piece of new business, you wish to see, you could chose 1 in every 10 cases. The system will show this as a percentage and enter the date when this commenced. Previous settings can be viewed on the right hand side of your screen.
You are now able to choose further options on which files will be selected, this time on Risk Based. Here you can select any areas of Advice that your adviser should not be selling or that you just wanted flagged for your attention, along with any individual products.
Now you have set the basis for the system to automatically select files for this Adviser you need to repeat this process for any other Advisers. Once this is complete CCD will commence selecting your files automatically.
You have now completed this task.