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

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