Compatibility · Finance
Client Services & Case Management
10 document types. Every file you add to this department is filed against one of them — that filing is what routes a question to the right document instead of searching a pile.
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Case notes templates (non-PHI)
A standard form staff use to record client interactions and case progress, structured to avoid capturing health or other sensitive personal details.
What it’s used for
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Case progress checklists
A step-by-step list used to track each stage of a client case from opening to completion.
What it’s used for
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Client onboarding packets
A bundled set of forms and disclosures a new client completes to open and fund an account and begin working with the firm.
What it’s used for
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Client verification & identity check SOPs
A step-by-step internal procedure telling client service staff how to confirm a client's identity and verify their documents before opening or servicing an account.
What it’s used for
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Communication templates (email/letter scripts)
A set of pre-written email and letter scripts staff use for common client communications, kept consistent and compliance-approved.
What it’s used for
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Document submission checklists
A list of the paperwork a client must provide for a given financial application, account opening, or case review.
What it’s used for
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Fact-finding questionnaires
A structured form used to collect a client's full financial and personal details at the start of an advice relationship.
What it’s used for
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Intake forms
A standard questionnaire completed when a new client starts, capturing their identity, finances, goals and paperwork needed to open the file.
What it’s used for
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Internal service escalation procedures
An internal guide telling client service staff when and how to escalate a client issue to higher levels of authority.
What it’s used for
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Settlement transaction workflows
A step-by-step guide to how client trades and payments move from execution to final settlement, including who does what at each stage.
What it’s used for
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