COMPLIANCE
client servicing. Checking that the Record of Advice (ROA) and FNA mirror one another
and further that
servicing
Checking that the Record of Advice (ROA) and FNA mirror one another and further that the
processing and reversals management
Retirement Fund, death, disability and funeral in RSA and ROA Continuous focus on process improvement and efficiencies Retirement Fund, death, disability and funeral in RSA and ROA Continuous focus on process improvement and efficiencies
Retirement Fund, death, disability and funeral in RSA and ROA Continuous focus on process improvement and efficiencies Retirement Fund, death, disability and funeral in RSA and ROA Continuous focus on process improvement and efficiencies
Risk Assessment) and most
importantly, the ROA (Record of Advice).
Initial disclosure letter · Design a very specific ROA template / advice process (Everest advisory only)
Initial disclosure letter · Design a very specific ROA template / advice process (Everest advisory only)