Want a clear view of file quality and quick wins? Let’s Get a plan in place.

Client File Reviews

A risk-based review of client files and advice records to confirm quality, compliance, and consistency — and to identify the specific actions that will lift outcomes quickly.

Ideal for

• Licensees wanting confidence their advice files are audit/regulator ready

• Practices introducing new advisers, new products, or a new SoA process

• Businesses seeing higher error rates, complaints, or “near misses”

WHAT WE REVIEW

Depending on your scope, file reviews can include:

• Fact finds, needs analysis, goals and objectives

• Strategy rationale and suitability

• Disclosure and client understanding (fees, conflicts, risks)

• Evidence of consent and implementation steps

• Record keeping and completeness (file notes, correspondence, authorities)

• Consistency with your internal policies, procedures and templates

WHAT YOU WILL RECEIVE

• Findings summary with risk rating and themes

• A prioritised uplift plan (what to fix first, owners, timeframes)

• Practical recommendations to improve the process, not just the file

• Optional coaching: “what good looks like” examples and adviser feedback

TYPICAL TIMING

• 2-3 weeks from scope to report (varies by sample size and availability)