Getting it right: What to include in a compliant client file (part 1)

At Compliance First we're often asked the question: "What does a good file look like?" While we acknowledge and appreciate the time and effort required in winning new business, it is also absolutely essential that your files and supporting documentation clearly demonstrate that your recommendations reflect the most suitable outcome or advice for your client(s). The information which follows has been extracted from the guidelines we follow at Compliance First. However, please note these areas are not exhaustive and are provided as generic and supportive guidelines only. Our file r...