We’re delighted to let you know that The Right DA Club has a NEW file checking service for directly authorised firms, from just £25.00 per file.
We now offer two options depending on your firms’ needs; an Admin File Check or a Full File Check.
*NEW* Admin File Check – just £25 per file
Perfect for firms who require a basic document check
We understand that directly authorised firms have different requirements, so may not need a full file check, which is why we have introduced our new Admin File Check.
As part of our Admin File Check our experienced team will review the file to ensure:
- all adequate records have been made and retained;
- the documents on file are attached to the product for the client file.
The Admin File Check is a shorter and very specific type of case check and will ensure your client files meet regulatory requirements, so you can free up valuable time to spend more time advising.
Full File Check – just £50 per file
Perfect for firms who want the peace of mind a full file check provides
Since launching our compliance services in 2016, we have received overwhelming feedback on our Full File Checks, as firms appreciate how robust and thorough they are.
As part of our Full File Check, our experienced file checking team will look at a range of aspects such as:
- the completeness of the record, including the mandatory documents;
- the chronology of the documents;
- the quality and completeness of the data capture;
- the appropriateness of the advice.
- Customer consents including Client preferences
They will then:
- complete a file review pro forma;
- score the file as appropriate and send a copy to the firm Principal;
- provide recommendations and feedback, offering a complete service.
Don’t just take our word for it
“A wise broker has compliant cases, and a wiser broker has The Right DA give their cases a 3rd party tick of approval. A case file needs to stand on its own, without clarification. The team was able to identify points, that we missed from our perspective. In an ever-changing regulatory environment, we don’t want complacency to step in the way of case quality.”
Adam Hosker, Bespoke Finance Direct