Process and Compliance Solutions
for the advice industry

February Update


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February Monthly Update

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CPD Dashboards

The CPD Dashboards allows you to track all your advisers points across CPD, TASA and FASEA on one dashboard.

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Note: We have built a robot that will automatically sign into your supervisor Kaplan login and download the spreadsheet, then load this into our database. Therefore, you would need to authorise us to access this via your supervisor login.


Compliance Observations Dashboard

Once you complete a Compliance File Review, the Observations Dashboard will track any remediation action items identified as a result of the file review.

The dashboard also helps you identify the following:

      • The status of the observation.
      • What advice stage advisers may need further training.
      • The most common observation types; and
      • The severity of your observation ratings.
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FDS & Fee For No Service Dashboard

We have recently added 4 new visuals to help manage FDS Letter due dates.

      • FDS Status: A drop down slicer which allows you to filter by FDS Status.
      • Number of FDS Now: Displays the number of FDS Letters Due this month.
      • Number of FDS Due Next Month: Displays the number of upcoming FDS Letters due next month to help manage your workloads.
      • Number of Overdue FDS: Counts the number of FDS Letters which are past their due date, but inside the 60-day period.
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Tasks & Threads Dashboard

If you are using tasks and threads, you are able to gain a birds eye view over all your business activities.

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Other News & Future Developments

News

      • Overall bug fixes, such as Power of Attorney and Related Entities in ‘Your Current Financial Position’

Upcoming Development Items

      • Clear and Concise SoA Template (estimated release end March 2020).
      • FASEA Standards included in the Best Interest Duty File Note (estimated release end March 2020).
      • SoA Vetting Tool (estimated release end April 2020).
      • Automated loading of Revex data into Xplan (estimated release end March 2020).

 

We encourage you to request a demo to see how iComply2 can amplify your business.

Kind Regards,

Christopher Fellas

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