Chapter 5 - The Compliance Hub
Templates, templates, templates.
All the advice templates you need to provide compliant advice to your clients.
Step 1: Open the Compliance Hub
Open the Apps Menu in the top left corner, and click on the Compliance Hub.
This will open the Compliance Hub App in a new tab.
Step 2: Click on Templates Register
In the Left Menu, click on ‘Template Regster’.
Your Licensee Templates Register will appear.
Templates include:
Fact Find, Risk Profile Questionnaires, Insurance Needs
Engagement Letter
Execution Only
AML/CTF
ROA
Annual/Ongoing Agreement; and many more
Searching The Register
You can search the register by template name. In the Search bar, search for the template you are looking for, and if it is in the register, it will appear.
Downloading The Template
You can download a copy of the template by clicking on the template link.