Finance
Advice-file administration
Suitability and the advice itself are untouched by the software.
The advice is the firm’s. The file around it should not depend on a desk drawer.
The workflow
Advice-file administration
- 01Structure
The file follows the firm’s sections.
- 02Capture
Notes and documents land in those sections.
- 03Chase
A missing page or a due follow-up is listed.
- 04Keep
The file stays in the system the firm already has.
Suitability and the advice itself are untouched by the software.
The problem
Advice-file administration still depends on a queue.
Fact-finds, missing pages and follow-up notes live in different tools. The file is assembled when someone asks for it.
Current process
A complete file, built afterwards.
Fact-finds, missing pages and follow-up notes live in different tools. The file is assembled when someone asks for it.
The solution
A recorded workflow, with people where the decision sits.
Handled in the workflow
The firm’s file structure is filled as the work happens. Missing pages are listed. Follow-up dates create a task in the system the firm already uses.
- Structure
- Capture
- Chase
- Keep
Your team stays in control
Suitability and the advice itself are untouched by the software.
A file that is complete because the work wrote into it.
How it works
From the queue to a recorded outcome.
The firm’s file structure is filled as the work happens. Missing pages are listed. Follow-up dates create a task in the system the firm already uses.
01
Structure
The file follows the firm’s sections.
02
Capture
Notes and documents land in those sections.
03
Chase
A missing page or a due follow-up is listed.
04
Keep
The file stays in the system the firm already has.
Without it
A complete file, built afterwards.
With UYP Systems
A file that is complete because the work wrote into it.
Suitability and the advice itself are untouched by the software.
Also in Finance
The rest of the range.
Client onboarding
Onboarding is a file that has to be complete. The delay is the chase for what is missing.
- Open
- Collect
- Test
- Hold or pass
Evidence collection
The evidence usually exists. The work is asking, filing and knowing what has not arrived.
- Name
- Ask
- File
- Show
Reconciliation exceptions
A reconciliation that matches needs no one. The work is the break.
- Compare
- Pass
- Queue
- Clear
Discuss Advice-file administration.
The advice is the firm’s. The file around it should not depend on a desk drawer.