Record of Advice
Template

A Record of Advice (ROA) is a client document provided by financial planners and advisers to confirm the disclosure of financial advice, typically in cases where a detailed Statement of Advice has been provided previously.

Despite their shorter, simplified format, Record of Advice documents are still an important part of the process; Re-confirming a financial planner's understanding of the client's circumstances and outlining any updates to the recommendations detailed in the original Statement of Advice

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Record of Advice Template: Overview

This Record of Advice template provides a well-structured framework for the creation of concise and compliant Record of Advice documents.

Like a Statement of Advice, Record of Advice documents are required to ensure that clients receive the good quality advice they need to make informed decisions and as such, it’s essential every detail is correct, communicated clearly and structure in a way that's easy to follow.

+ SOA or ROA? Find out when to use what here.

Who can use this Record of Advice Agreement Template?

This Record of Advice (ROA) document template is ideal for licensees, self-licensed financial planning practices and new financial planning businesses looking to skip the process of creating a Record of Advice template from scratch.

(Very handy indeed if we do say so ourselves...)
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