Adviser Pre-vetting Guide
SARA assists with a first-pass review of advice documents. It helps you identify issues to investigate, but you remain responsible for checking the evidence, making corrections and following your licensee’s approval process.
Step 1: Create or open the advice request
Select Advice Vetting. Open the existing request, or select Create SOA. Search for the client, or use Create New Client where appropriate. Complete the due date, adviser, SOA type and relevant assignment details. Add the advice document or request and select Add SOA.
Step 2: Send the request to SARA
Open the request’s SOA Details and select Send to SARA. In Create SARA Review, select SOA Pre-Vet as the Review Type.
Step 3: Upload and identify the documents
Use Upload documents to add the advice and relevant supporting material. The review workflow accepts PDF, DOCX and TXT files. Legacy DOC files must be saved to a supported format first.
Check the document type for every uploaded file. Identify the SOA being vetted, then any fact find, risk profile, meeting notes, product research, projections and fee-consent material relevant to the advice. Use the Document checklist to check coverage. A filename or automatic tag is only a starting point.
Step 4: Create and assess the review
Select Create Review. Wait for processing and check any error or save message. On Pre-vet Result, read the introduction, compliance gaps and individual findings. Use the Findings list or Back and Next controls to work through each check.
Read the reasoning and evidence before accepting an outcome. Investigate every Fail or Review finding. For Not Applicable, check that the reason genuinely fits this advice. A Pass is not automatic permission to issue the document.
Step 5: Correct, re-check and retain the report
Correct the source advice where needed and use Run re-check on the saved review. Review the proposed changes before accepting them. When ready, select Print Report to download the Word report and check its contents.
Step 6: Follow your approval process
Return to Advice Vetting to check the linked SARA Result, SARA Report and SOA Doc. Update the request’s Status to reflect the real workflow stage, such as Compliance Review. Only record Approved when the authorised review and your licensee’s requirements have been completed.