Pre-meeting compliance

This checklist will guide you through a series of compliance checks prior to a client meeting. It will help you to remain up to date with compliance areas such as:

• That the client has received the most recent version of your FSG.
• Client’s listed investment profile.
• Client’s Opt-In and Annual Review dates.
• Ensuring you have up to date ID on file for your client.

This template is available for download in the following formats:

• editable PDF, and
• automated Word document.

If you would like to customise this checklist please contact us and we’d be happy to help!