a best practice implementation toolkit
TRANSCRIPT
Administration Template
DocumentsDescription of Document
Document
Linked ToProject Name
Required
(Y/N)Document Type Cost
Cash Flow Worksheet A worksheet to record and monitor cash flow Accounts &
FinancialsFinancials and Accounting Template/Document 7.50£
Purchase OrderA form to be used with requesting authorisation for Company
purchases
Accounts &
FinancialsPurchasing and suppliers Tool 7.50£
The Annual Review ServiceA templated client facing brochure detailing an Annual Review
Service Proposition offered by the business
Clients &
Service
Proposition
Client Proposition Template/Document 7.50£
The Client Journey Planner -
Financial Planning Meeting
Guidelines
A process outlining the key areas to consider when carrying out
a Financial Planning Meeting
Clients &
Service
Proposition
Client Journey Policy/Guideline 7.50£
The Client Journey Planner -
Telephone Appointment
Confirmation Letter
A letter to clients confirming telephone appointment enclosing
key documents.
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
The Financial Planning
Service
A templated client facing brochure detailing the Financial
Planning Service Proposition offered by the business
Clients &
Service
Proposition
Client Proposition Template/Document 7.50£
The Transactional ServiceA templated client facing brochure detailing a Transactional
Service Proposition offered by the business
Clients &
Service
Proposition
Client Proposition Template/Document 7.50£
The Client Journey Planner -
Completion Letter
Confirmation letter to clients where planner services have been
completed
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
Best Practice Implementation Toolkit
A Best Practice Implementation Toolkit
Version 1.0 - 09/11 Page 1 of 7
Proposition
Document Checking
Process
A guide to creating and maintaining a uniform approach to
Company documents
Business
Management
Business and Office
ManagementPolicy/Guideline 37.50£
Master 'To Do' ListA guide to assist with focusing on goals and objectives to be
achieved
Business
Management
Business and Office
ManagementTool 7.50£
The Client Journey Planner -
Implementation Process
An Operational Procedure to be adopted to define and
document the Implementation Process of the Client Journey
Clients &
Service
Proposition
Client Journey Tool £ 7.50
The Client Journey Planner -
New Enquiry Process
A process outlining how to deal internally with new client
enquiries
Clients &
Service
Proposition
Client Journey Policy/Guideline 7.50£
The Client Journey Planner -
Review Meeting
Confirmation Letter
A letter to clients confirming the review meeting
Clients &
Service
Proposition
Client Journey Tool £ 7.50
Wrap ConsiderationsFactors to be take into account when considering use of a Wrap
Platform
Business
ManagementCompliance Tool 37.50£
Client Journey Planner -
Financial Plan Enclosed
Letter
Template letter to be issued with the Financial Plan
Clients &
Service
Proposition
Client Journey Template/Document £ 7.50
Service Proposition
Brochure
A template brochure communicating the Company's defined
service proposition to its clients
Marketing &
Business
Generation
Client Proposition Template/Document £ 37.50
Service Proposition Client
Communication Letter
A template letter communicating the Company's defined
service proposition
Marketing &
Business
Generation
Client Proposition Template/Document £ 37.50
A Best Practice Implementation Toolkit
Version 1.0 - 09/11 Page 1 of 7
The Client Journey Planner -
Client Review Process
A process to be followed when standardising the way client
reviews are dealt with
Clients &
Service
Proposition
Client Journey Tool £ 7.50
The Client Journey Planner -
Client File Creation Process
A process to be followed when standardising the creation of
client files
Business
ManagementClient Journey Tool £ 7.50
The Client Journey Planner -
Financial Plan On Its Way
Letter
Template letter to be issued in advance of the Financial Plan
being issued to a client
Clients &
Service
Proposition
Client Journey Template/Document £ 7.50
Life's Intentions InventoryA document to be used as part of establishing a client's long
term goals and objectives
Marketing &
Business
Generation
Business and Office
ManagementTool 7.50£
The Client Journey Planner
An extensive document plotting the steps through the financial
planning process from prospect to ongoing client, detailing the
operational procedures to be followed and documents to be
used to complete the client journey
Clients &
Service
Proposition
Client Journey Policy/Guideline £ 150.00
The Client Journey Planner -
Documents to bring
Checklist - Adviser
A checklist of documents the client needs to bring to the
meeting with the adviser
Clients &
Service
Proposition
Client Journey Tool 7.50£
The Client Journey Planner -
Documents to bring
Checklist - Client
A checklist of documents the client needs to bring to the client
meeting
Clients &
Service
Proposition
Client Journey Tool 7.50£
The Client Journey Planner -
Exploration Worksheet
A Worksheet to record client worries, concerns, strengths and
opportunities to be used as part of the 1st D.O.S meeting
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
Client Review Preparation
Sheet
A detailed document to assist in the preparation of client
reviews
Clients &
Service
Proposition
Client Journey Tool £ 37.50
Time you Need to Devote
to Managing Client
Relationships
A guide to effectively managing client relationships
Marketing &
Business
Generation
Business and Office
ManagementPolicy/Guideline 37.50£
The Client Journey Planner -
Draft Financial Plan
A detailed document providing the sections to be included into
a Draft Financial Plan
Clients &
Service
Proposition
Client Journey Policy/Guideline £ 37.50
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Version 1.0 - 09/11 Page 2 of 7
Draft Financial Plan a Draft Financial PlanProposition
The Client Journey Planner -
Exploration - Meeting
Agenda
Agenda to support the Exploration Meeting
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
The Client Journey Planner -
Exploration - Meeting
Confirmation Letter
Appointment confirmation letter to be used when
communicating the Exploration Meeting to clients
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
The Client Journey Planner -
Exploration - Meeting
Guideline
A structured set of guidelines to be followed during the
Exploration Meeting
Clients &
Service
Proposition
Client Journey Policy/Guideline £ 37.50
The Client Journey Planner -
Financial Planning
Implementation Sheet
A comprehensive document for clients to complete in
preparation for their annual review
Clients &
Service
Proposition
Client Journey Tool £ 37.50
The Client Journey Planner -
Financial Planning Meeting
Agenda
Agenda to support the Financial Planning Meeting
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
The Client Journey Planner -
Exploration Prospect
Profiling Form
A form to be completed when profiling new clients
Marketing &
Business
Generation
Client Journey Tool 7.50£
The Client Journey Planner -
Exploration Prospect
Profiling Script
A guide to be followed when profiling new clients
Clients &
Service
Proposition
Client Journey Tool 7.50£
The Client Journey Planner -
Exploration - ReportA detailed new client Report
Clients &
Service
Proposition
Client Journey Template/Document 37.50£
The Client Journey Planner -
Exploration - Report
Covering Letter
A client letter to accompany the Report
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
A Best Practice Implementation Toolkit
Version 1.0 - 09/11 Page 2 of 7
The Client Journey Planner -
Exploration - Report
Creator
A guide to assist with the creation of a Report
Clients &
Service
Proposition
Client Journey Policy/Guideline 37.50£
Data Protection PolicyTemplate policy for employees to understand their obligations
towards Data Protection Compliance Compliance Policy/Guideline 37.50£
Conflict of Interest and
Personal Dealing RegisterA register to record Company Conflicts of Interest
Business
ManagementCompliance Template/Document 7.50£
Conflicts of Interest PolicyA policy detailing Company requirements under Conflicts of
Interest
Business
ManagementCompliance Policy/Guideline 37.50£
File Submission Sheet A checklist to accompany new business submissions Business
ManagementCompliance Tool 7.50£
Financial Promotions
ChecklistA checklist to be used for constructing financial promotions
Business
ManagementCompliance Tool 7.50£
Financial Promotions
Register
A spreadsheet to record and monitor financial promotions
within the Company
Business
ManagementCompliance Tool £ 7.50
Fire Risk Assessment
Checklist
A checklist to complete when carrying out a Fire Risk
Assessment
Business
ManagementBusiness Continuity Tool £ 7.50
Fire Safety Policy A Policy on Fire Safety Business
ManagementBusiness Continuity Tool £ 7.50
FSA Complaints Register Register to record and monitor complaintsBusiness
ManagementCompliance Tool 7.50£
A Best Practice Implementation Toolkit
Version 1.0 - 09/11 Page 3 of 7
Gifts and Hospitality Policy A Policy of Gifts and HospitalityBusiness
ManagementCompliance Tool 7.50£
Gifts Register A register to record and monitor internal Company giftsBusiness
ManagementCompliance Tool 7.50£
Key holder LogA document to record who company keys have been issued to
and when they have been returned
Business
ManagementCompliance Template/Document £ 7.50
Key Performance Indicator
GuideA guide to KPI data
Business
ManagementTraining and Development Template/Document £ 37.50
Whistleblowing
Information SheetA Company guide on Whistleblowing
Business
Management Compliance Policy/Guideline 37.50£
Personal Account Dealing
RegisterA register to record and monitor Personal Account dealings
Business
ManagementCompliance Tool 7.50£
Personal Account Dealing
Request Form
A request for to be used internally when requesting a Personal
Account Deal take place
Business
ManagementCompliance Tool 7.50£
Team Measurement A tool to measure the performance of the team Team Time and Task Management Excel - Tool £ 7.50
Project Planner TemplateA spreadsheet to plot individual steps associated with a
planned Company projects
Business
ManagementStrategic Projects Tool 7.50£
A Best Practice Implementation Toolkit
Version 1.0 - 09/11 Page 3 of 7
RDR Checklist A checklist of areas to be considered in getting ready for RDRBusiness
ManagementCompliance Tool 7.50£
Strategic Project Planner,
Ideas Implementer
A spreadsheet to capture all Company projects to plot and plan
the journey
Business
ManagementStrategic Projects Tool 7.50£
Guide to the Ideas
Implementer and Strategic
Project Planner
A guide to using the Strategic Project Planner and Ideas
Implementer
Business
ManagementStrategic Projects Policy/Guideline 7.50£
Invoice Template A template document to design invoice documentsAccounts &
FinancialsFinancials and Accounting Tool 7.50£
Late Payment of Fees Letter A template late payment of fees letter to clientsAccounts &
FinancialsFinancials and Accounting Template/Document 7.50£
BACS Commission Payment
Details FormA form to be used when collecting BACS Commission Payments
Business
ManagementFinancials and Accounting Policy/Guideline 7.50£
Information Security Policy A template Information Security Policy Business
ManagementCompliance Policy/Guideline 37.50£
Security Audit Register A template Security Audit registerBusiness
ManagementCompliance Template/Document 7.50£
security Violations Register A template Security Violations registerBusiness
ManagementCompliance Template/Document 7.50£
Internal Code of Conduct
and Service StandardsAn internal Code of Conduct and Service standard
Business
Management
Code of Conduct and Service
Level Agreements Policy/Guideline £ 37.50
Locum AgreementAn agreement to be used when establishing a locum
arrangement
Business
ManagementCompliance Template/Document £ 37.50
A Best Practice Implementation Toolkit
Version 1.0 - 09/11 Page 4 of 7
Locum Agreementarrangement Management
Compliance Template/Document £ 37.50
Non Disclosure AgreementA template agreement to be used with third party associates
who have access to confidential client data
Business
ManagementCompliance Template/Document 7.50£
Non Disclosure Agreement -
Single Party
A template agreement to be used with third party associates
who have access to confidential client data
Business
ManagementCompliance Template/Document 7.50£
Outsourcing ChecklistA checklist to be used when establishing outsourcing of
services
Marketing &
Business
Generation
Compliance Tool 7.50£
Partnership Charter A charter detailing Partnership guidelines
Marketing &
Business
Generation
Compliance Policy/Guideline 37.50£
Quality of Advice Policy A Policy to help detail Company commitments Business
ManagementEthics Policy/Guideline 7.50£
Sustainability and
Environmental Policy
A Policy to help identify and document Sustainability and
Environmental issues appropriate to business
Business
ManagementEthics Policy/Guideline 7.50£
Task Action PlannerA simple planner to assist with the recording and monitoring of
key business projectsTeam Strategic Projects Tool 7.50£
Turnaround Time
Guidelines - Product BasedA guide to establishing turnaround times based on products
Business
Management
Code of Conduct and Service
Level Agreements Policy/Guideline 37.50£
Adviser/Planner Profiling
Document
Considerations to help identify the ideal partner to deliver the
Company ethos to clients
Marketing &
Business
Generation
Client Journey Policy/Guideline 37.50£
A Best Practice Implementation Toolkit
Version 1.0 - 09/11 Page 4 of 7
Establish a Client Advisory
Board
A guideline to establishing a group of clients who are invited to
attend meetings, share ideas and feedback within the financial
planning business
Marketing &
Business
Generation
Compliance Policy/Guideline 37.50£
The Client Journey Planner -
Exploration - Client
Profiling Questionnaire
A document to record customer data for profiling
Clients &
Service
Proposition
Client Journey Template/Document 7.50£
The Practice Management
System
A fully comprehensive template Practice Management System
to assist with the effective management of the business
Business
Management
plus PMS
Practice Management System Policy/Guideline 350.00£
The Task and Time
Management SystemA guide to The Task and Time Management System
Business
Management
plus PMS
Time and Task Management Policy/Guideline 37.50£
Business Cycles TimetableA comprehensive timetable which captures the key business
activities throughout the year
Business
ManagementCompliance Tool £ 37.50
Business Records Check A document to assist in checking business recordsBusiness
Management
Business and Office
ManagementTool £ 7.50
Client Meeting Itinerary A form detailing meeting informationBusiness
ManagementClient Journey Template/Document £ 7.50
Company Productivity
Audit
A simple productivity audit to allow easy monitoring of the
effectiveness of key business tasks
Business
Management
Business and Office
ManagementTool 37.50£
Business Continuity PlanA comprehensive plan to assist with business continuity in the
event that risks are realised
Business
ManagementBusiness Continuity Template/Document £ 37.50
Business Continuity Risk
Assessment
A matrix to support the conducting of a full risk assessment of
the business
Business
ManagementBusiness Continuity Tool £ 37.50
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Version 1.0 - 09/11 Page 5 of 7
Client Costing Analysis Calculation tool to assist with the analysis of individual client
value
Clients &
Service
Proposition
Client Proposition Tool £ 37.50
Client Proposition Analysis A document to assist in determining the Company service
proposition
Clients &
Service
Proposition
Client Proposition Tool 7.50£
Client Value AnalysisA proposition calculator calculating the cost of delivery of client
services
Clients &
Service
Proposition
Client Proposition Tool £ 37.50
Fee CalculationsA spreadsheet containing calculations for Service Fees, Review
Fees, Action Plan Fees and Implementation Fees
Clients &
Service
Proposition
Client Proposition Tool £ 7.50
Feedback - Continual
Improvement & Corrective
Preventative Action Log
A set of spreadsheets for effective recording and management
of client and third party feedback
Marketing &
Business
Generation
Continual Improvement Tool 7.50£
Feedback - Continual
Improvement email to
Clients
An email template to issue to clients requesting service
feedback comments
Marketing &
Business
Generation
Continual Improvement Template/Document 7.50£
Feedback - Continual
Improvement PolicyA Company policy for Continual Improvement
Marketing &
Business
Generation
Continual Improvement Policy/Guideline 37.50£
Feedback -Continual
Improvement Client
Questions
A service feedback survey to be issued and responded to by
clients
Marketing &
Business
Generation
Continual Improvement Tool £ 37.50
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Version 1.0 - 09/11 Page 5 of 7
Introducer AgreementAn agreement to be used when establishing an introducer to a
business relationship with a third party
Business
ManagementCompliance Tool 7.50£
Introducer Agreement
RegisterA register to record and log Introducer agreements
Business
ManagementCompliance Tool 7.50£
IT Log BookA record to log and monitor IT issues within the business for
effective reporting to your IT support CompanyIT IT Infrastructure and Systems Tool 7.50£
IT Specification Checklist A checklist to be used for recording all Company IT IT IT Infrastructure and Systems Tool £ 37.50
Operational Procedures -
Writing & Recording Data
A guide on how to create essential Company Operational
Procedures
Business
Management
plus PMS
Business and Office
ManagementTool 75.00£
Business Review Process
A process outlining how to implement an effective internal
meeting and communication programme, including agendas
and meeting task planners
Business
Management
plus PMS
Business Review Process Template/Document £ 75.00
Master Copy Documents -
Writing & Recording Data
A guide on how to create essential Company Master Copy
Documents
Business
Management
plus PMS
Business and Office
ManagementPolicy/Guideline 57.00£
Business Review Process
Meeting Agenda -
Administration
An agenda to be used when conducting an administration team
meeting
Business
Management
plus PMS
Business Review Process Tool 18.50£
Business Review Process
Meeting Agenda -
Management
An agenda to be used when conducting a management meeting
Business
Management
plus PMS
Business Review Process Tool 7.50£
Business Review Process
Meeting Agenda - DebriefAn agenda to be used when conducting a team meeting
Business
Management
plus PMS
Business Review Process Tool 7.50£
Business Review Process
Meeting Agenda - Technical
An agenda to be used when conducting a technical team
meeting
Business
Management
plus PMS
Business Review Process Tool 19.50£
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Version 1.0 - 09/11 Page 6 of 7
Business Review Process
Meeting Agenda - Technical
Adviser
An agenda to be used when conducting a technical Adviser
team meeting
Business
Management
plus PMS
Business Review Process Tool 19.50£
Business Review Process
Meeting Agenda - Treating
Customers Fairly
An agenda to be used when conducting a TCF meeting
Business
Management
plus PMS
Business Review Process Tool 7.50£
Meeting Planner - Client A guide to be used when planning meetings to assist with focus
Business
Management
plus PMS
Strategic Projects Tool 7.50£
Meeting Planner - Team A guide to be used when planning meetings to assist with focus
Business
Management
plus PMS
Strategic Projects Tool 7.50£
New Business RegisterAn essential register to record and monitor fees and
commissions paid on product sales
Business
Management
plus PMS
Compliance Tool 7.50£
Practice Management
System Creation Guide
A Practice Management System is an essential tool in capturing
the operational structure and set up of the Company. This
guide helps you to create your own Practice Management
System
Business
Management
plus PMS
Practice Management System Policy/Guideline 97.00£
Practice Management
System Folder Set Up
A suggested diagram on folder set up of your Practice
Management SystemPMS IT Infrastructure and Systems Tool £ 7.50
Turnaround Time
Guidelines - Workflow
A guide to establishing turnaround times based on internal
workflows
Business
Management
Business and Office
ManagementPolicy/Guideline 37.50£
Treating Customers Fairly -
Gap Analysis
A fully comprehensive TCF Gap Analysis document to record
and monitor TCF
Business
ManagementTreating Customers Fairly Tool 37.50£
Treating Customers Fairly -
Management Information
Guide
A guide to gathering and recording key Treating Customers
Fairly Management Information
Business
ManagementTreating Customers Fairly Tool 37.50£
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Version 1.0 - 09/11 Page 6 of 7
Treating Customers Fairly -
Staff Feedback
A staff feedback questionnaire to capture TCF feedback
experiences
Business
ManagementTreating Customers Fairly Tool 7.50£
Treating Customers Fairly -
PolicyA comprehensive Company policy on TCF
Business
ManagementTreating Customers Fairly Policy/Guideline 37.50£
Document RegisterAn essential log for recording and monitoring all Company
Operational Procedures and Master Copy Documents
Business
Management
Business and Office
ManagementTool £ 7.50
Policy/Guideline From £37.50 Total Charges £
Tool From £7.50
Template/Document From £7.50
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Version 1.0 - 09/11 Page 7 of 7