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Client File Audit Checklist

by Nicky Eilers, from the Community

Downloads: 10+
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Ensure compliant record-keeping for financial advice engagements with this client file audit checklist. Capture a clear Record of Advice including the basis for recommendations, products considered, and reasons selections meet client needs. Verify client signatures or proof of delivery, and document comparisons for replacements: fees, terms, exclusions, waiting periods, penalties, and restrictions. Record client decisions when they differ from advice, and note important disclosures such as tax implications. Include declarations on the impact of incomplete information and provide an overview of the advice process and resulting financial plan.

With SafetyCulture you can

Digitize any process, procedure or policy
Eliminate mistakes made by paper-based processes
Create and share professional reports instantly
Confirm accountability and compliance with a digital log

With SafetyCulture you can

Digitize any process, procedure or policy
Eliminate mistakes made by paper-based processes
Create and share professional reports instantly
Confirm accountability and compliance with a digital log

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Community

This community page makes available free workplace checklists and templates created by other users within the SafetyCulture community. SafetyCulture has re-published this content and where possible, has credited the original author. SafetyCulture has not verified the accuracy, reliability or suitability of any community content. You agree that your use of any of this content is in accordance with SafetyCulture’s Terms and Conditions.