Client File Checklists
Learn what you need to retain in your client files
Course Curriculum
-
Introduction
-
Financial Adviser Checklists
-
Compliance Manager Checklists
-
Practice Manager Checklists
-
Quiz
-
Resources
About this course
- $124.00
- 1 hour of video content
- 1.25 CPD Hour/Point
- Multiple Choice Assessment
- Delivery: Online, Self-paced
About this course
Our Client File Checklists short course details all the checklists needed to help ensure advice documents, advice files and even the financial planning practices as a whole - meet all compliance requirements
What you will learn
-
What client information, research and evidence you need to include in your advice files
-
How certain checklists can help ensure advice files are compliant
-
Which individual checklists you need to be using right now
Who is this short course for?
• Financial Advisers • Financial Planning Practice Managers • Responsible Managers • Compliance Personnel and Consultants • Client Services Representatives • Paraplanners
Certification
You will be awarded a Certificate of Completion. It will be available online for you to download and print immediately
Course Preview
Complementary Resources
As part of the short course you will also receive the following:
-
8 Financial Adviser Checklists
-
3 Practice Manager Checklists
-
2 Compliance Manager Checklists
Buy a course and we'll plant a tree!
It's just that simple... we will plant one tree for every course purchased. There's no limit to the number of trees we will plant, so buy a course today and take one small step toward a greener tomorrow
Visit the program at OneTreePlanted.org
Course Syllabus
Click here to get further information on the course. You will find the agenda, timetable of each session delivered, the facilitator qualifications and experience in financial services, learning outcomes and more
Frequently Asked Questions
-
How are the CPD short courses assessed?
Our CPD short courses are assessed by a short open book multiple-choice exam
-
When can I can enrol?
Our CPD short courses are 100% online, so you can start anytime, anywhere
-
How do I enrol my team?
You can enrol your team online. Find the right course and make an online purchase or contact us directly via our enquire today form and the Total Advice Compliance team can easily arrange your team's training