Managing Advice Vetting Records
Advice Vetting tracks the work around the advice request. Keep this record current so the team can see who is responsible, what documents are available and which stage the request has reached.
Step 1: Find or create the request
Select Advice Vetting. Search by client or filter by SOA Status, paraplanner or adviser. Use Create SOA for a new request, or open an existing row to view SOA Details.
Step 2: Check assignments and details
Review the adviser, Assigned To, date and type. Update the appropriate fields and select Save details. Check the save message before leaving.
Step 3: Manage the documents and review
Use SOA Doc to open the saved advice document. If a preview is unavailable, use its Open in new tab or Download option. Check you have the correct version before reviewing or sharing it.
Select Send to SARA to create the linked review. Once linked, the button changes to View SARA. Review the SARA Result and the report shown in SARA Report. Check any partial-save warning; a review result and the advice record may require separate attention if a save fails.
Step 4: Keep the workflow status accurate
The Status list includes New Request, In Progress, Adviser Review, Awaiting Changes, Compliance Review, Approved and Declined. Select the stage that reflects the actual work. The advice-request Status and SARA Result are separate fields.
Only use Approved when the authorised decision has been made under your licensee’s process. A Pass result alone does not approve the advice.
Step 5: Collaborate deliberately
Use Shared Users and Add user to maintain the intended collaborators. Check the recipient before adding access. Add a clear comment with Add Comment, including an attachment only when needed. Use replies to keep related discussion together.
Step 6: Send an update when appropriate
The email control opens Send SOA email. Review To and CC, subject, message and attachments before selecting Send email. Do not assume the suggested recipients or prefilled text are correct for every situation.
Do not delete a document, comment or request merely to change its status. Follow your organisation’s record-retention process.