Keep policies and templates current

Use SARA’s Policy Register and Template Register to keep licensee documents, owners and review details together.

Who can make changes

Users with the Full Access or Compliance Manager role can add, edit and delete records in these registers. The registers are not shown in the menu for Adviser users who do not also have one of those management roles. Available records and actions also depend on your account’s access.

Add a policy

1. From the left menu, select Policy Register, then Add Policy.

2. Complete Policy name, Policy owner, Policy date and Next review date. Choose the owner from the compliance-manager list. Add Last reviewed if applicable.

3. Choose a file under Policy document, then click Create.

The next review date and last-reviewed date cannot be earlier than the policy date. Past next-review dates are highlighted in the list so you can identify records that need attention.

Review or replace a policy document

Use Search policies... to find a policy. The Download policy document action downloads its current document. To update the record, choose Edit and then Save changes.

Leave Policy document blank when editing to keep the existing file. Select a new file only when you intend to replace it.

Add a template

1. Select Template Register, then Add Template.

2. Enter Template name, choose Template owner and Template type, and enter Template date. Add Last reviewed where relevant.

3. Use Add documents to select any supporting template files, then click Create.

Template types are AML/CTF, Compliance, Engagement, Fact Find, FSG, Review, ROA, Service Agreement and SOA.

Find and maintain templates

Use the search box and All template types filter to narrow the list. Open View details to download documents. To add more files or change the details, use Edit, select the new documents and click Save changes. Newly selected files are added to the existing collection.

Register uploads accept PDF, DOC, DOCX, JPG, JPEG and PNG files, up to 50 MB per file. Check the record after saving. Take care with Delete and document Remove: their confirmation messages warn that the action cannot be undone.