24th October 2018

File Checking

Why Us?

  • We DO NOT employ file checkers
  • All of our team are qualified to at least CII Diploma level 4
  • All of our team have a wealth of experiance
  • We can review post or pre-sale cases
  • We DO NOT simply tick boxes
  • Our goal is to help the advisor imporve their cases
  • Turnaround time of 3 working days
  • Pragmatic approach taken
  • Bespoke software in line with FCA reviews
  • MI & KPI provided at a touch of a button to highlight any trends and to provide a wealth of useful data
  • We aim to assign one of our team to your cases to ensure consitency

Our team will start with a blank page and will put themselves in your shoes (most have previously been advisors). We will only ever offer constructive criticism with the intention of making a positive difference.

When needed, our team will pick up the phone and discuss any perceived issues with the advosr or paraplanner to ensure we fully understand the angle you are coming from.

We review advice with the mindset of: –

  1. Does it meet FCA COBS rules?
  2. Does the file reflect the firm’s internal procedures?
  3. Can the advice be defended in the event of a complaint?

We want all the cases we review to be of an excellent standard, and we will work with you to acheive this goal.