Insurance QA Review Form Compliance 6 Jul Written By Rupert Gough QA Insurance Review Form Saving… You are not authorised to view this content. Further documentation is needed Case Details Adviser Select adviser Admin Support Select admin Review Created By Client's Name Mo CRM Link Date lead created Date application sent to provider Issue Date Stage 1 — Establish the Client Relationship Were there meeting debriefs / summary of conversation evidenced in the CRM? Please Select Present (Pass) Not Found (Fail) Evidence of MTG Initial Disclosure in CRM? Please Select Present (Pass) Not Evidenced Comments for Stage 1 Stage 2 — Discovery Discovery meeting recorded in CRM? Please Select Present (Pass) Not Evidenced Information about existing products evidenced in CRM? Please Select Present (Pass) Not Applicable - no previous policies (Pass) Not Found (Fail) Has information about any existing products been requested? Please Select Yes (Pass) Not applicable (Pass) No (Fail) Have the client's goals and objectives been identified? Please Select Yes (Pass) No (Fail) Comments for Stage 2 Stage 3 — Analyse & Evaluate Has the adviser provided reasoning for the chosen cover? Please Select Yes (Pass) No (Fail) Does the client file contain sufficient evidence of the research conducted? Please Select Yes (Pass) No (Fail) Comment for Stage 3 Stage 4 — Recommendation & Presentation What communication to client containing Insurance Recommendation / SOA? Please Select Present - sent in email text (Pass) Present - sent as Word/PDF document (Pass) Not Evidenced Diary note in CRM of conversation where advice given? Please Select Present (Pass) Not Found (Fail) Evidence client agrees to proceed? Please Select Present (Pass) Not Found (Fail) Has the adviser identified if client holds existing financial products? Please Select Yes - there is no existing cover (Pass) Yes - there is existing cover (Pass) No (Fail) Was there a replacement of existing policy? Please Select No Yes. Further questions below. Has the adviser assessed the existing product for suitability? Please Select Yes (Pass) No (Fail) Not applicable (No existing product) Has the adviser detailed advantages and disadvantages of the advice recommendation? Please Select Yes (Pass) No (Fail) Does the advice align with the client's goals? Please Select Yes (Pass) No (Fail) Has the adviser assessed the recommendation for any conflicts of interest? Please Select Yes (Pass) No (Fail) Comment for Stage 4 Stage 5 — Implementation Was a completed application saved to the CRM? Please Select Present (Pass) Application submitted by e-app (Pass) Not found (Fail) Did the adviser review the Offers of Terms? (confirmation from clients where terms provided) Please Select Present (Pass) Not Found (Fail) Written confirmation that client understands any variation to original recommendations? Please Select Present - application sent to multiple providers (Pass) No variations (Pass) Not Found (Fail) Evidence existing covers adjusted / cancelled if changes required? Please Select Present (Pass) No existing covers adjusted or cancelled (Pass) Not Found (Fail) Final Statement of Advice / final Implementation Plan completed? Please Select Present (Pass) Not Found (Fail) Comment for Stage 5 Stage 6 — Monitor & Review Did the adviser confirm the annual review date? Please Select Present (Pass) Not Found (Fail) Does the recommendation outline how you will service the client in the future? Please Select Yes (Pass) No (Fail) Comment for Stage 6 Have compliance documents been correctly categorised in the CRM? Please Select Yes No Save Review Reset Saved Required fields: Adviser, Client Name Mark as Complete Deleted. Undo Previous QA Reviews Filter by Adviser All advisers Filter by Status All Completed Drafts Further documentation needed Clear Prev Page 1 Next Rupert Gough
Insurance QA Review Form Compliance 6 Jul Written By Rupert Gough QA Insurance Review Form Saving… You are not authorised to view this content. Further documentation is needed Case Details Adviser Select adviser Admin Support Select admin Review Created By Client's Name Mo CRM Link Date lead created Date application sent to provider Issue Date Stage 1 — Establish the Client Relationship Were there meeting debriefs / summary of conversation evidenced in the CRM? Please Select Present (Pass) Not Found (Fail) Evidence of MTG Initial Disclosure in CRM? Please Select Present (Pass) Not Evidenced Comments for Stage 1 Stage 2 — Discovery Discovery meeting recorded in CRM? Please Select Present (Pass) Not Evidenced Information about existing products evidenced in CRM? Please Select Present (Pass) Not Applicable - no previous policies (Pass) Not Found (Fail) Has information about any existing products been requested? Please Select Yes (Pass) Not applicable (Pass) No (Fail) Have the client's goals and objectives been identified? Please Select Yes (Pass) No (Fail) Comments for Stage 2 Stage 3 — Analyse & Evaluate Has the adviser provided reasoning for the chosen cover? Please Select Yes (Pass) No (Fail) Does the client file contain sufficient evidence of the research conducted? Please Select Yes (Pass) No (Fail) Comment for Stage 3 Stage 4 — Recommendation & Presentation What communication to client containing Insurance Recommendation / SOA? Please Select Present - sent in email text (Pass) Present - sent as Word/PDF document (Pass) Not Evidenced Diary note in CRM of conversation where advice given? Please Select Present (Pass) Not Found (Fail) Evidence client agrees to proceed? Please Select Present (Pass) Not Found (Fail) Has the adviser identified if client holds existing financial products? Please Select Yes - there is no existing cover (Pass) Yes - there is existing cover (Pass) No (Fail) Was there a replacement of existing policy? Please Select No Yes. Further questions below. Has the adviser assessed the existing product for suitability? Please Select Yes (Pass) No (Fail) Not applicable (No existing product) Has the adviser detailed advantages and disadvantages of the advice recommendation? Please Select Yes (Pass) No (Fail) Does the advice align with the client's goals? Please Select Yes (Pass) No (Fail) Has the adviser assessed the recommendation for any conflicts of interest? Please Select Yes (Pass) No (Fail) Comment for Stage 4 Stage 5 — Implementation Was a completed application saved to the CRM? Please Select Present (Pass) Application submitted by e-app (Pass) Not found (Fail) Did the adviser review the Offers of Terms? (confirmation from clients where terms provided) Please Select Present (Pass) Not Found (Fail) Written confirmation that client understands any variation to original recommendations? Please Select Present - application sent to multiple providers (Pass) No variations (Pass) Not Found (Fail) Evidence existing covers adjusted / cancelled if changes required? Please Select Present (Pass) No existing covers adjusted or cancelled (Pass) Not Found (Fail) Final Statement of Advice / final Implementation Plan completed? Please Select Present (Pass) Not Found (Fail) Comment for Stage 5 Stage 6 — Monitor & Review Did the adviser confirm the annual review date? Please Select Present (Pass) Not Found (Fail) Does the recommendation outline how you will service the client in the future? Please Select Yes (Pass) No (Fail) Comment for Stage 6 Have compliance documents been correctly categorised in the CRM? Please Select Yes No Save Review Reset Saved Required fields: Adviser, Client Name Mark as Complete Deleted. Undo Previous QA Reviews Filter by Adviser All advisers Filter by Status All Completed Drafts Further documentation needed Clear Prev Page 1 Next Rupert Gough