|Files which have been selected for checking, whether automatically or manually, can be accessed in several ways. Firstly, if you are looking for one particular Adviser’s files, from the front page of CCD click into Compliance followed by that Adviser’s name, then Adviser T & C. Alternatively, Compliance > File Checks > Outstanding will show you all those selected for every adviser in the company that are yet to be completed. Either way when you click on the client file you are to check you are presented with the same screen:|
You have ten tabs that you may wish to use. The bottom row gives headline information on the compliance and administration of the case. You can view these then go to the paper fact find, CCD fact find or if you have scanned your factfind into CCD access this from the Scanned doc. Tab and complete your check.
Once you have completed your file check you can use the top row of tabs to record your verdicts:
File Review allows you to use the drop down boxes to mark the specific areas of the advice given and pass comments if you feel it relevant.
The Review Results tab lets you record your overall verdict. Any remedial action needed can be recorded, timed and diarised in the Task tab:
The final tab, Review forms allows you to document this activity by either obtaining any existing file check forms that you have stored in the Set up of CCD, obtaining an external form from your desktop or using CCD’s File Monitoring Review Sheet:
The results of any file reviews you complete are analysed by CCD and presented to you as part of the Adviser’s KPI reports, clearly identifying an Adviser’s shortfalls and training needs.