Client Care Desktop V4
Compliance Client Care Desktop V4
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Contents 1. ADVISERS ................................................................................4 1.1 ADDING REFERENCES .......................................................................................................................... 4 1.2 ADDING CREDIT CHECKS ..................................................................................................................... 6 2. RECORDING ADVISER’S QUALIFICATIONS & SPECIALISATIONS ................8 3. CASE CHECKS AND FILE REVIEWS ................................................. 10 3.1. AUTOMATIC CASE CHECKS AND FILE REVIEWS ............................................................................... 10 3.2. MANUALLY SELECTING CASE CHECKS AND FILE REVIEWS ............................................................... 12 3.3. COMPLETING A FILE REVIEW ........................................................................................................... 15 3.4. COMPLETING A CASE CHECK............................................................................................................ 21 4. KEY PERFORMANCE INDICATORS ................................................... 23 4.1. SETTING KEY PERFORMANCE INDICATOR (KPI) STANDARDS .......................................................... 23 4.2. GENERATING KPI REPORTS .............................................................................................................. 26 4.3. VIEWING COMPLETED KPI REPORTS ................................................................................................ 33 5. OBSERVATIONS ....................................................................... 35 5.1. VIEWING OBSERVATIONS ................................................................................................................ 37 6. RECORDING ADVISER’S DEVELOPMENT ............................................ 39 6.1. VIEWING EXISTING DEVELOPMENT RECORDS ................................................................................. 42 6.2. RECORDED CONTINUOUS PROFESSIONAL DEVELOPMENT (CPD .................................................... 43 6.3. REVIEWING CPD RECORDS ............................................................................................................... 45 7. COMPLAINTS .......................................................................... 46 8. PRODUDING COMPLIANCE REPORTS ................................................ 51
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9. COMPLIANCE REPROTS IDENTIFIED DURING CONSULTANCY FOR FSA REPORTING ................................................................................ 55 9.1. RMAR ............................................................................................................................................... 55 9.2. SWITCHING POLICIES – REPLACEMENT POLICIES ............................................................................ 56 9.3. KPI REPORTING INCLUDING EXECUTION ONLY – SUPERVISOR LEVEL AND CONSULTANT LEVEL ... 57 9.4. COMPLAINTS .................................................................................................................................... 59 9.5. FILE CHECKING RESULTS .................................................................................................................. 60
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1. ADVISERS This user guide will assume that the Adviser has already been setup with the Setup module. The staff member will only appear in the Compliance module if they are marked as an Adviser on their staff record. When a new Adviser joins the company you can record the references and credit checks within the Compliance module. 1.1 ADDING REFERENCES
Accessing the Compliance module will display a list of the Advisers. Select an Adviser you wish to record the references and credit checks for.
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Once the Adviser is selected go to Recruitment.
To add a reference, select the References tab.
References already added will be listed. Clicking Add reference will take you through to the details page to add a new reference.
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Enter the details of the reference.
Response details can also be recorded. 1.2 ADDING CREDIT CHECKS Adviser credit checks can be recorded in the same area as the references. As before you need to access the Advisers record and select Recruitment from the left hand menu.
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From the Recruitment screen select the Credit checks tab and then select Add record to record the details of the credit check.
Once you have selected Add record, before you are taken to the details screen you will receive a prompt screen asking if the credit check is Personal or Industry Debt.
The information will vary depending which one you select. Below is the Personal credit check.
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Enter the details of the credit check.
2. RECORDING ADVISER’S QUALIFICATIONS & SPECIALISATIONS CCD will help you keep a record of all the adviser’s qualifications and specialisations. Select the Adviser in the Compliance module and access the Adviser T&C area.
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The initial screen will give an overview of the adviser’s current status. To record information either select Specialisations or Qualifications from the tab menu at the bottom of the screen.
Using the tabs along the top ensure that all the relevant qualification dates have been recorded.
Dates of when the adviser passed their exams can be recorded. If the adviser specialises in any areas, those can also be recorded.
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Within the Specialisation area you can set automated case checks or file reviews if the adviser writes business that they do not specialise in.
3. CASE CHECKS AND FILE REVIEWS Case checks and File reviews will either automatically be selected or you can manually select business for a Case check or File review. 3.1. AUTOMATIC CASE CHECKS AND FILE REVIEWS Business can automatically be selected if you have selected either a Case check or File review when an adviser writes business that they are not specialised in. As seen above in the previous section. Automatic file reviews can also be setup in the Adviser T&C area. You can ask for a random percentage of new business to be selected and/or specific cases based on high-risk business categories. Also the type of advice can be selected, execution only, etc. Setting up the automatic file reviews is done per adviser so you can tailor it to each individual rather than having one process for all advisers.
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To setup up the automatic file reviews, select the adviser in the Compliance module and go to Adviser T&C
From the Adviser T&C screen select the File reviews tab. You can choose how many files, for every piece of new business is selected for a File review and also type of advice or scenario.
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There are additional tabs for you to complete and also view previous file reviews.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The Risk based tab allows you to select a Product basis and Product category. When the adviser recommends the product basis or product category that has been selected, it will be marked for a file review. In this example a file review will be triggered if the adviser sells any retirement products and/or a equity release product.
The Outstanding and Complete tab will show file reviews that are outstanding or have been completed.
3.2. MANUALLY SELECTING CASE CHECKS AND FILE REVIEWS
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Within File checks select File Selection. The Automatic tab will record the criteria for automatic file review’s within the Adviser T&C area, as shown in the section.
Use the criteria at the bottom of the screen to filter the business. This has been filtered on adviser.
The business that matches the criteria will be listed, selecting More will allow you to manually select the business for a Case check for File review.
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An overview of the screen will be displayed, if it is not the correct piece of business go back to File selection along the History bar. If it is the correct piece of business select Reason Selected.
If automatically selected, the reason will automatically be selected.
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You can now manually select either a Case Check or File Review. If File Review there is also a option for you to record a reason for it.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
3.3. COMPLETING A FILE REVIEW Once a piece of new business has been selected, either automatically or manually, it can be accessed in two areas.
File reviews can be accessed from the individual adviser’s record, Adviser T&C and Outstanding File reviews. Select the business if you wish to view it.
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File reviews for all advisers can be accessed within File checks and File reviews. Select the piece of business you wish to view.
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Once you have selected the business a Case summary screen will be displayed.
Administration will give details of dates and information of when the recommendation was made and submitted.
Compliance details the dates of the compliance documentation.
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Commissions will show an overview of the commission received for the business.
If have Document Manager, Scanned docs will give you access to all the documents attached to this business.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The File review tab allows you to record the areas that have been completed.
Result is selected from the drop down list and addition comments can be added.
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Review results tab is where you record the overall result of the file review.
If any remedial actions are required this is recorded here along with the overall file grade.
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If there is any outstanding work, it can be recorded here which can be timed and diarised in the Task tab. Please refer to the Getting Started user guide for information on Tasks.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The Review forms tab allows you to document the file review.
You can either use the CCD file monitoring document which will include all the information on the file review or add your own documentation which you may have stored in CCD in the Setup of CCD or add an external document. The file monitoring form is a two page PDF document.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The results of the file reviews will be analysed by CCD and presented as part of the KPI reports, which will identify the adviser’s shortfalls and training needs.
3.4. COMPLETING A CASE CHECK If a piece of business has been selected for a case check either automatically or manually, you can add notes and record who completed the case check.
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Access the outstanding case checks within File checks and Case checks. Select the Case check you wish to complete.
From the Case summary screen select the Case check tab.
Notes regarding the case check can be entered which will be available should the case be upgraded to a file review. Also complete who completed the case check and date.
The case can be upgraded to a file review and will then appear in the outstanding File reviews.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
A history of the case checks and file reviews will remain within the File checks area. Select either File reviews or Case checks and then select the Complete tab. Your completed case checks and file reviews will be listed.
4. KEY PERFORMANCE INDICATORS 4.1. SETTING KEY PERFORMANCE INDICATOR (KPI) STANDARDS CCD will produce your KPI reports for your company. These reports can be used to check that you are meeting with your regulatory requirements or as a basis for an adviser’s review. For it to do this effectively, firstly you will need to set up the standards. Minimum and maximum tolerances can be set which are acceptable for your advisers to work within. For example is the maximum tolerance limit is 10% then if 11% occurs, CCD will flag it to be investigated to identify any potential risk areas where advice may have fallen outside of the criteria.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Access the setup area within KPIs and Generation from the left hand menu and the Standards tab.
The Standards are divided into four areas, File checks, Business written, Business spread and Persistency.
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Enter the tolerance amounts are you happy with.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
In the Business written tab, enter the tolerances for types of Advice and Product categories.
In the Business Spread tab, enter the tolerances for providers and products. You do not need to select who Provider 1 is etc. When the KPIs are generated it will apply the top five providers and products for each adviser.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
In the Persistency tab enter the minimum requirement for total persistency. In this example if more than 10% falls off the books, it will flag it.
NB: All KPI figures quotes are examples and not compliance or regulatory standards or those that are necessarily what Origen will use – they are examples.
4.2. GENERATING KPI REPORTS
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Generate the KPI reports from KPIs and Generation.
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Select the adviser you wish to generate the report for.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Selecting the adviser will take you to the Selected tab where the advisers that have been selected will be listed. Select the period you wish to run the report for. Enter the KPI month end and KPI year end.
The adviser’s KPI reports will be listed in the Outstanding area.
Once you have entered the end month and year, three time frames will be displayed.
Click on the Generate KPI link to produce the KPI reports.
Select the adviser’s name to view the KPI report.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
All the tabs will be populated with their results.
Ensure you access the sub-tabs within the main tabs.
If any of the results do not fall within the tolerances, they will be highlighted in red. Select Comment to enter a note regarding the result.
A list of all the areas will be listed. Enter a note in the areas that were highlighted in red.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
When you return to the Results screen the previously red areas will no longer be highlighted as CDD knows you have acknowledged them as you have entered notes.
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Ensure you go through each tab to ensure the adviser is within the tolerances that you have set.
Complete the Overall assessment, selecting from the drop down list.
Clicking on the Complete compliance checklist link will insert today’s date in the complete box.
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Within the Printables tab you can, Print and View the KPI report. You can create PDF format and e-mail it to the adviser and supervisor if relevant.
An example of the KPI report.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
4.3. VIEWING COMPLETED KPI REPORTS KPI reports can be viewed from two areas within the Compliance module.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
All advisers completed KPI reports can be views in KPI’s and Completed from the left hand menu.
Within an adviser’s individual record in the Compliance module, select Adviser KPI’s and you can access the KPI’s specific to that adviser.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
5. OBSERVATIONS To help you to ensure that your adviser’s remain competent, you can record all observations that have taken place with the advisers in your company.
Select the adviser and go to Adviser T&C and Observations from the left hand menu.
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Details of the observation can be entered and frequency.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Outstanding observations are listed in the Outstanding tab.
To add a new observations select Add record.
An overview of the observation can be recorded and the date it was completed at the bottom of the screen.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Forms that have been completed for the observation can be attached to the observation record for future reference.
Drag the document over the white area in CCD.
5.1. VIEWING OBSERVATIONS
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View all adviser’s observations by accessing T&C and Observations from the left hand menu. The first list displayed will be the current list of observations, select the observation you wish to view.
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In the Forthcoming tab select the month you wish to view by selecting the relevant number.
The Historic tab will list all completed observations. Select the month and year you wish to view.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
6. RECORDING ADVISER’S DEVELOPMENT When development needs for you advisers are identified, it is important for you to keep a record for compliance purposes. The need can be entered along with the results of when the need was addressed. The development need can either be a result of observations or another method like an exam result. Depending how it was identified will depend where it is recorded. If the development need was identified following a observation, access the outstanding observation within the Adviser T&C.
From the Outstanding tab click Add record which will take you through to the Training area.
If the development need is not following on from an Observation, it can be recorded directly in the Development area.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Select Development from the Adviser T&C section.
If the adviser has access to Competent Adviser, their login details can be entered in the Resources tab and can access the website.
Click Add record to enter a new training record.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Either way you add the training record, you will be taken to this screen.
The Development identified is an editable drop down list. So if there is not an option suitable, select the Edit option will allow you free type your own option in.
Type the objective of the training i.e. what will the adviser achieve by completing the training.
The methods of training can be recorded and a date when they need to be completed by. The Method/s of training to be used and By who are editable drop down lists.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The results of the training can be recorded in the Results tab.
You can free type the results of the training that has been completed by the adviser.
The result and sign off can be entered. If the adviser did not successfully complete the training, another record will need to be added.
6.1. VIEWING EXISTING DEVELOPMENT RECORDS
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
All the adviser’s current and historic development can be viewed in Adviser T&C and Development from the left hand menu.
6.2. RECORDED CONTINUOUS PROFESSIONAL DEVELOPMENT (CPD) Adviser’s continuous professional development can be recorded within each training record you have completed.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Access the advisers training records in their Development area.
Select the existing training record or add a new one by clicking Add record, if there is not already an existing record for the continuous development you need to enter.
You will be taken to the Training screen, from the Training screen select the CPD tab.
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Click Add record to enter the details of the CPD.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Enter the date of the training and select the description from the drop down list. CPD description is an editable list so you can enter your own option if needed.
The time needs to be entered in minutes and it will calculate the hours.
To mark the CPD as complete, select Complete CPD record which will enter today’s date.
The Related development will pre-populate from the development record. The Training summary is free type field.
6.3. REVIEWING CPD RECORDS All CPD records that are added will be stored in CCD.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
All advisers’ CPD records are listed in T&C and CPD from the left hand menu.
You can view the CPD records either in the Current tab, which is recorded that have not been completed or By month tab, which will list all current and completed CPD records. Select the record you wish to view.
7. COMPLAINTS Any complaints that are received need to be recorded for compliance purposes. CCD allows you to record the full detail of the compliant along with how you dealt with the compliant, the timescales and outcome. All complaints that are logged into CCD will be used to compile a Complaints register.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Complaints are recorded in the Complaints register. Select Registers and Complaints from the left hand menu.
Any outstanding complaints will be listed. To record a new complaint, click Add complaint record.
You will be taken to the Complaint tab. The first screen will be for you enter an overview of the complaint and record important dates. The Synposis and Client notes tabs are free type screens.
The client is selected from a list. See next screen shot.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
On the previous screen when you select the client list you will be take to this screen.
Find the relevant client by typing the letter in the field. It will then display a list of clients and select the relevant client.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
When in the client file it will display a warming message that there is a compliant registered by the client.
Marking the Client response as ‘Rejected – Ombudsman contacted’ will activate the Ombudsman tab.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
If required select the Ombudsman tab.
This area will allow you to keep notes and record dates regarding the Ombudsman.
The ombudsman result can be recorded.
The Remedial tab can be used to record any actions that are required.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
8. PRODUDING COMPLIANCE REPORTS CCD can produce a vast variety of Compliance related reports that can be used to control your business or to produce for the Regulator. These could add value to your business and take away the stress of producing regulator reports when the FSA requests them. The reports are split into two sections, Management and Regulatory. The Management reports will help you monitor your business and the Regulatory reports can be used for the FSA. All reports can be modified to ensure that you are looking at specific time frames to suit your needs. To get the most of the reports in CCD we would recommend that you take time to familiarise yourself with the reports.
Access the reports within the Reports area.
Some of the more common reports are displayed on the first screen, selecting one of those will take you through to the relevant screen report screen where you can access the filters. Alternatively select the area you want from the Reports sub menu on the left hand side.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Due to the amount of Management reports there are divided into five categories.
To produce specific reports use the filter options at the bottom of the screen.
The reports relating to new business are in the New Business tab. You can also filter on all reports.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The reports relating to supervision are in the Supervision tab. You can also filter on all reports.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The reports relating to development are in the Development tab. You can also filter on all reports.
The Registers tab have various registers available for you to use, also the filters can be used.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
Access the Regulatory area to access the regulatory reports.
You can view all the reports within date ranges.
9. COMPLIANCE REPROTS IDENTIFIED DURING CONSULTANCY FOR FSA REPORTING This section details all of the compliance reports that Origen stipulated were important to the business 9.1. RMAR CCD providers a number of reports that will help you to produce the RMAR report, most of the figures will be taken from your nominal accounting system. Some of the reports that are system generated and may be helpful in completing the RMAR.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The reports are in the Regulatory reports in the Compliance module, as seen in the previous section and there are also some reports in the Reports area of the Admin module.
Additional compliance reports to support the RMAR report are in the Compliance Reports area of the Admin module.
9.2. SWITCHING POLICIES – REPLACEMENT POLICIES
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The replacement report is available in the Management reports in Compliance module.
9.3. KPI REPORTING INCLUDING EXECUTION ONLY – SUPERVISOR LEVEL AND CONSULTANT LEVEL
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
You can produce reports for Outstanding and Complete KPI’s. Within the KPI area of the Compliance module select the type of KPI report.
You can list By Adviser or By month. If you have selected adviser you will need to enter the adviser ref. Select View/Print summary KPI report.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
The execution only report is available in the Management reports in the Compliance module. To produce the report for supervisor and consultant level, use the filter at the bottom of the screen.
9.4. COMPLAINTS
The complaint reports are in the Management Reports in the Compliance module.
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The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
9.5. FILE CHECKING RESULTS
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The file review reports are in the Management Reports in the Compliance module.
The information contained in this document is the property of Capita Financial Software Ltd. The contents of the document must not be reproduced or disclosed wholly or in part or used for purposes other than that for which the document is supplied without the prior written permission of Capita Financial Software Ltd.
