Lesson 2: Preparing For Your FiIe Review

Adequately preparing for your review will ensure a smooth review experience.

Here’s an overview of the File Review Process and the key documentation in the advice process and why each is crucial from a compliance perspective.

Step 1: Email Notification

You will receive an email notification of your review. The email will contain the client name and the scheduled review date.

Step 2: Create the Audit Checklist

Go to iC2 Projects and open the SOA being reviewed.
Click the ‘+’ icon in the Audit Checklist to create a new Audit Checklist
Select the relevant Audit Checklist

Step 3: Upload Supporting Documents

Upload your supporting documentation to each of the checklist items.

Once the file/s have been uploaded, mark the checklist item as ‘Complete’.
Complete each item in the Checklist

There may be circumstances where the item in the checklist is not applicable for your advice. For example, the client may not have an existing product relevant for the advice.

In this case, mark the item as ‘Not Applicable’, and enter the reason why it’s not appliable. Your compliance manager will then be able to review the file with the context you have provided in the checklist.

Step 4: The File Review

On the scheduled audit date, your Compliance Manager will download the files from the Checklist to complete the review.

Learning More:

You can learn more about preparing for your review and the key documentation required on the button below:

Learn more