How do I view historical file checks?

Completed file checks can be viewed in several ways. You may wish to look at the company as a whole to see what checks have been completed for all advisers in a particular month. This is achieved by clicking on Compliance > File Checks. Choose between File Reviews or Case Checks then select the Complete tab.

Alternatively, if you are interested in the history of just one particular Adviser you may prefer to view just their file check history. This is achieved by clicking in Compliance from the Main Menu, followed by clicking into the Adviser’s name. Now select Adviser T&C on the left hand side. The File Checks Complete tab is presented and can be filtered by month by using the arrows to move backwards and forwards in time. To view any detail on these cases just click into the appropriate case: