1: Introduction to Fact Find Meeting

Client Details:

Book Introduction Meeting (Adviser)

Prepare Meeting Documents - Admin

Confirm First Meeting - Admin

Introduction Meeting - (Adviser):

Record File Note (Adviser)

Transcribe File Note

Review File Note (Adviser)

Upload Client Docs (Admin):

Follow Up Client (Adviser)

Book Fact Find Meeting (Adviser):

Prepare Fact Find Meeting Documents (Admin)

Fact Find Meeting (Adviser):

Record File Note (Adviser)

Transcribe File Note

Review File Note (Adviser)

Upload Client Docs (Admin):

Commence Research Template:

Client Details:

Client 1 Name:

Client 2 Name:

Contact Number (Client 1):

Contact Number (Client 2):

E-mail Address: (Client 1)

E-mail Address: (Client 2)

Book Introduction Meeting (Adviser)

Appointment Date and Time

1

Create Outlook calendar invite for meeting
2

SLACK (#General) channel updating team on meeting status

Utilise one of the following e-mail signatures depending on client situation and meeting place:

Prospecting Meeting Booked
Prospecting Meeting Booked AFS

1

Introduction confirmation meeting e-mail sent to client
2

Create Coin File note confirming meeting details and conversation
3

Attach Send e-mail to COIN as File Note

Prepare Meeting Documents - Admin

To be completed 1 day prior to the meeting!

Create information pack for Financial Adviser:

Activate Financial Services FSCG (Most current version)
AMP Portal - Engagement Report (Last 12 month's date range, print coloured, double sided)
Print and Bind Introduction Meeting Booklet:- Contents can be found in: S DRIVE > AFS Fact & Forms > Client Introduction Workbook

1

Information Pack Created

Confirm First Meeting - Admin

1

Contact client via mobile to confirm the meeting time, date and location

Utilise the following script to conduct the phone call:

"Hi, It's Dinah calling from Activate Financial Services.
I'm calling to confirm your appointment with <Adviser's Name>.

"We've got you booked in for <Appointmentment Date, Time & Location>, does that still suit you?"

If Yes, thank them and hang up.
If No re-schedule for a suitable time.

Use Adviser's Outlook calendar to organise a suitable time.

1Direct Message Financial Adviser via SLACK with a status update

Record Tasks Completed:

1

SLACK adviser directly to inform of the confirmation/re-schedule
2

Create File Note in COIN under client

Initial Meeting Confirmation

Spoke to <Client Name>,

Confirmed / Re-scheduled introduction appointment with client.

The adviser has been updated accordingly.

Introduction Meeting - (Adviser):

Financial Adviser to attend the first meeting with client

Utilise first meeting introduction booklet and record meeting information.

Record File Note (Adviser)

Financial Adviser to record File Note.

Utilising the following templates when recording the File Note

Use the following sections when dictating the file note.

Upload File Note Audio Recording

Transcribe File Note

Use below template for recording File Note

1

Naming convention: Initial of First Name <space> Last Name - <Type of File note eg: Confirmation meeting etc> <space> <date>
2

Save transcribed file note in Sharepoint and COIN
3

SLACK adviser to confirm status update

Review File Note (Adviser)

1

Financial Adviser to Review File note and make any necessary adjustments.

Upload Client Docs (Admin):

Josie to complete the following steps:

1

Scan completed pages from the introduction meeting booklet
2

Setup Client Folder document in: S DRIVE
3

Save Scanned pages in appropriate folder's e.g. (I.D's, AUDIT, MEETING NOTES)
4

Re-fresh Booklet for future appointments

Follow Up Client (Adviser)

Contact client and follow up as promised during the initial meeting.

Utilise both Phone and E-mail to stay in touch.

Book Fact Find Meeting (Adviser):

Appointment Date and Time

1

Create Outlook calendar invite for meeting
2

SLACK (#General) channel updating team on meeting status

Utilise one of the following E-mail Signatures depending on client situation and meeting place!

1

Fact Find meeting video e-mail sent to client
2

Create Coin File note confirming meeting details and conversation
3

Attach Send e-mail to COIN as File Note

Prepare Fact Find Meeting Documents (Admin)

To be completed 1 day prior to the meeting!

Create Information Pack for Financial Adviser:

Client Discovery Workbook
- Contents can be found in: S DRIVE > AFS Fact Find & Forms > Client Discovery Workbook

Fact Find Meeting (Adviser):

Financial Adviser to attend the Fact Find meeting with the client.

Utilise first meeting introduction booklet and record the meeting information.

Record File Note (Adviser)

Financial Adviser to record File Note.

Use the above template for dictating the file note.

Upload Fact Find File Note Audio

Transcribe File Note

Use below template for recording File Note

1

Naming convention: Initial of First Name <space> Last Name - <Type of File note eg: Confirmation meeting etc> <space> <date>
2

Save transcribed file note in Sharepoint and COIN
3

SLACK adviser to confirm status update

1

Naming convention: Initial of First Name <space> Last Name - <Type of File note eg: Confirmation meeting etc> <space> <date>
2

Save transcribed file note in Sharepoint and COIN
3

SLACK adviser to confirm status update

Review File Note (Adviser)

1

Financial Adviser to Review File note and make any necessary adjustments.

Upload Client Docs (Admin):

Josie to complete the following steps:

1

Scan completed pages from the introduction meeting booklet
2

Save Files according to booklet label e.g. budget, risk profile, goals & objectives.
3

Re-fresh Booklet for future appointments