Running a Record of Advice Pre-vet

A Record of Advice review needs enough context to assess the further advice and its relationship to the earlier Statement of Advice. Prepare the RoA, the prior SOA it relies on and the evidence relevant to any changes.

Step 1: Open the advice request

In Advice Vetting, open the relevant request and check the client and adviser. If a request is required, create one through Create SOA; that is the current label used for the advice-request form.

Step 2: Choose the RoA review

Select Send to SARA. In Create SARA Review, change Review Type to ROA Check.

Step 3: Add the advice and supporting documents

Use Upload documents. Identify the current document as Record of Advice (being vetted) and the earlier document as Prior Statement of Advice. Check both appear in the document checklist.

Add relevant prior and current fact-find information, file or meeting notes, change-of-circumstances evidence and fee-consent material. Use readable PDF, DOCX or TXT files. Check the document types rather than relying only on automatic filename tagging.

Step 4: Create the review

Select Create Review and read any validation or processing messages. Missing, unreadable or incorrectly classified documents can leave SARA without the evidence it needs.

Step 5: Check the reliance findings

Read each result and its evidence, including the findings about reliance on the prior SOA and changed circumstances. Resolve Review or Fail outcomes and confirm the source material supports the conclusion.

If you use the separate upload workflow, its RoA pre-vet option includes a further-advice checkbox. Treat that as an input describing the document; selecting it is not a determination that an RoA is legally appropriate.

Step 6: Retain the review

Use Print Report to download the report after checking the findings. Follow your licensee’s process for deciding whether further advice can be documented as an RoA or requires an SOA. SARA’s output supports that review and does not replace it.