Embedded Files
The Advice Process is designed to capture the full client advice journey from start to finish. It ensures that all files align with compliance standards.
Why It Matters?
Every time you begin an advice process with a client, you must:
Record the process in the CRM.
Upload all relevant advice documents into the file.
Close the process - regardless of whether the client proceeds or not.
This maintains a complete record and supports regulatory compliance.
Available Advice Processes
The CRM currently supports the following processes:
L&R Advice - New
L&R Advice - Review
L&R - Client Alteration Request
L&R Claim
Mortgage Advice
Mortgage Refix
KiwiSaver Advice
Complaint
Investment Advice
F&G Domestic / Commercial – New Business Advice
F&G Domestic / Commercial – MTA Advice
F&G Domestic / Commercial – Renewal Advice
F&G Claim
Process Layout
Each advice process follows the same overall layout. The content will differ depending on:
The service being provided, and
The corresponding compliance requirements.
Starting an Advice Process
Starting an Advice Process
To commence an Advice Process on a file:
Go to 'Advice Process'
Click '+'
A pop up will then appear to kick off the process setup
Explore each of the options on the pop up below:
Advice Process
Advice Process
When the pop-up window appears, click on the box under Advice Process.
A dropdown menu will display all available advice processes.
From the list, select the advice process that applies to your client’s situation.
Adviser
Adviser
If you are with a Business Owner / Business Admin & Adviser Manager access, you are able to select who the Adviser is for this Client
If you are an Adviser, you will automatically be tagged on this Advice Process
Clients Involved
Clients Involved
Make sure that the applicable clients involved in the process is tagged correctly.
If you need to act more clients to be involved (e.g. Spouse, Child), just click on the icon highlighted to add
Online & Offline Advice Tool
Online & Offline Advice Tool
If the Online Advice Tool is enabled in your CRM, you will be prompted to choose whether you are completing the advice process online or offline.
Offline Advice Tool:
Provides a simple, step-by-step method for navigating the Advice Process.
Advisers can upload documents directly from their local drives.
Streamlines document submission and review.
Online Advice Tool:
Fully integrated with the CRM.
Creates an interactive platform for managing the Advice Process.
Enables real-time collaboration and communication between advisers and clients.
Regardless if you selected the Online or Offline Advice Tool, the information needed on this page is similar.
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