1 You are a Compliance Manager for a licensee

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1 You are a Compliance Manager for a licensee which has 15 authorized representatives. You have just been notified that a complaint has been made against one of the authorized representatives by a former client. The representative works from an office remote from ‘head office’ and, on your last audit inspection visit nine months ago, you found that some of the representative’s files were not in order. The basis of the former client’s complaint is that they believe they were not advised that their adviser would be charging ongoing fees from their portfolio.You now plan to conduct an audit visit, without notice, at the representative’s office. What will you be looking for at the representative’s office in order that you canprepared an initial response to the complainant?Prepare the bullet-point checklist and explain why each item is required.

 

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