A Best Practice Implementation Toolkit
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The document describes various templates and documents available as part of an administration template. It includes documents related to financials, purchasing, client propositions, policies, and operational procedures. The documents cover areas such as cash flow, purchase orders, client journeys, compliance policies, and project planning. The document provides information on what each template or document is used for and what category and type of document it falls under.
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A Best Practice Implementation Toolkit
- 1. Administration Template Documents Description of Document Document Linked To Project Name Required (Y/N) Document Type Cost Cash Flow Worksheet A worksheet to record and monitor cash flow Accounts & Financials Financials and Accounting Template/Document 7.50£ Purchase Order A form to be used with requesting authorisation for Company purchases Accounts & Financials Purchasing and suppliers Tool 7.50£ The Annual Review Service A 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 Service A 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 Management Policy/Guideline 37.50£ Master 'To Do' List A guide to assist with focusing on goals and objectives to be achieved Business Management Business and Office Management Tool 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 Considerations Factors to be take into account when considering use of a Wrap Platform Business Management Compliance 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
- 2. 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 Management Client 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 Inventory A document to be used as part of establishing a client's long term goals and objectives Marketing & Business Generation Business and Office Management Tool 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 Management Policy/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 A Best Practice Implementation Toolkit Version 1.0 - 09/11 Page 2 of 7 Draft Financial Plan a Draft Financial Plan Proposition 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 - Report A 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
- 3. 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 Policy Template policy for employees to understand their obligations towards Data Protection Compliance Compliance Policy/Guideline 37.50£ Conflict of Interest and Personal Dealing Register A register to record Company Conflicts of Interest Business Management Compliance Template/Document 7.50£ Conflicts of Interest Policy A policy detailing Company requirements under Conflicts of Interest Business Management Compliance Policy/Guideline 37.50£ File Submission Sheet A checklist to accompany new business submissions Business Management Compliance Tool 7.50£ Financial Promotions Checklist A checklist to be used for constructing financial promotions Business Management Compliance Tool 7.50£ Financial Promotions Register A spreadsheet to record and monitor financial promotions within the Company Business Management Compliance Tool £ 7.50 Fire Risk Assessment Checklist A checklist to complete when carrying out a Fire Risk Assessment Business Management Business Continuity Tool £ 7.50 Fire Safety Policy A Policy on Fire Safety Business Management Business Continuity Tool £ 7.50 FSA Complaints Register Register to record and monitor complaints Business Management Compliance 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 Hospitality Business Management Compliance Tool 7.50£ Gifts Register A register to record and monitor internal Company gifts Business Management Compliance Tool 7.50£ Key holder Log A document to record who company keys have been issued to and when they have been returned Business Management Compliance Template/Document £ 7.50 Key Performance Indicator Guide A guide to KPI data Business Management Training and Development Template/Document £ 37.50 Whistleblowing Information Sheet A Company guide on Whistleblowing Business Management Compliance Policy/Guideline 37.50£ Personal Account Dealing Register A register to record and monitor Personal Account dealings Business Management Compliance Tool 7.50£ Personal Account Dealing Request Form A request for to be used internally when requesting a Personal Account Deal take place Business Management Compliance 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 Template A spreadsheet to plot individual steps associated with a planned Company projects Business Management Strategic Projects Tool 7.50£ A Best Practice Implementation Toolkit Version 1.0 - 09/11 Page 3 of 7
- 4. RDR Checklist A checklist of areas to be considered in getting ready for RDR Business Management Compliance Tool 7.50£ Strategic Project Planner, Ideas Implementer A spreadsheet to capture all Company projects to plot and plan the journey Business Management Strategic 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 Management Strategic Projects Policy/Guideline 7.50£ Invoice Template A template document to design invoice documents Accounts & Financials Financials and Accounting Tool 7.50£ Late Payment of Fees Letter A template late payment of fees letter to clients Accounts & Financials Financials and Accounting Template/Document 7.50£ BACS Commission Payment Details Form A form to be used when collecting BACS Commission Payments Business Management Financials and Accounting Policy/Guideline 7.50£ Information Security Policy A template Information Security Policy Business Management Compliance Policy/Guideline 37.50£ Security Audit Register A template Security Audit register Business Management Compliance Template/Document 7.50£ security Violations Register A template Security Violations register Business Management Compliance Template/Document 7.50£ Internal Code of Conduct and Service Standards An internal Code of Conduct and Service standard Business Management Code of Conduct and Service Level Agreements Policy/Guideline £ 37.50 Locum Agreement An agreement to be used when establishing a locum arrangement Business Management Compliance Template/Document £ 37.50 A Best Practice Implementation Toolkit Version 1.0 - 09/11 Page 4 of 7 Locum Agreement arrangement Management Compliance Template/Document £ 37.50 Non Disclosure Agreement A template agreement to be used with third party associates who have access to confidential client data Business Management Compliance 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 Management Compliance Template/Document 7.50£ Outsourcing Checklist A 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 Management Ethics Policy/Guideline 7.50£ Sustainability and Environmental Policy A Policy to help identify and document Sustainability and Environmental issues appropriate to business Business Management Ethics Policy/Guideline 7.50£ Task Action Planner A simple planner to assist with the recording and monitoring of key business projects Team Strategic Projects Tool 7.50£ Turnaround Time Guidelines - Product Based A 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
- 5. 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 System A guide to The Task and Time Management System Business Management plus PMS Time and Task Management Policy/Guideline 37.50£ Business Cycles Timetable A comprehensive timetable which captures the key business activities throughout the year Business Management Compliance Tool £ 37.50 Business Records Check A document to assist in checking business records Business Management Business and Office Management Tool £ 7.50 Client Meeting Itinerary A form detailing meeting information Business Management Client 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 Management Tool 37.50£ Business Continuity Plan A comprehensive plan to assist with business continuity in the event that risks are realised Business Management Business Continuity Template/Document £ 37.50 Business Continuity Risk Assessment A matrix to support the conducting of a full risk assessment of the business Business Management Business Continuity Tool £ 37.50 A Best Practice Implementation Toolkit 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 Analysis A proposition calculator calculating the cost of delivery of client services Clients & Service Proposition Client Proposition Tool £ 37.50 Fee Calculations A 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 Policy A 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 A Best Practice Implementation Toolkit Version 1.0 - 09/11 Page 5 of 7
- 6. Introducer Agreement An agreement to be used when establishing an introducer to a business relationship with a third party Business Management Compliance Tool 7.50£ Introducer Agreement Register A register to record and log Introducer agreements Business Management Compliance Tool 7.50£ IT Log Book A record to log and monitor IT issues within the business for effective reporting to your IT support Company IT 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 Management Tool 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 Management Policy/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 - Debrief An 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£ A Best Practice Implementation Toolkit 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 Register An 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 System PMS 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 Management Policy/Guideline 37.50£ Treating Customers Fairly - Gap Analysis A fully comprehensive TCF Gap Analysis document to record and monitor TCF Business Management Treating Customers Fairly Tool 37.50£ Treating Customers Fairly - Management Information Guide A guide to gathering and recording key Treating Customers Fairly Management Information Business Management Treating Customers Fairly Tool 37.50£ A Best Practice Implementation Toolkit Version 1.0 - 09/11 Page 6 of 7
- 7. Treating Customers Fairly - Staff Feedback A staff feedback questionnaire to capture TCF feedback experiences Business Management Treating Customers Fairly Tool 7.50£ Treating Customers Fairly - Policy A comprehensive Company policy on TCF Business Management Treating Customers Fairly Policy/Guideline 37.50£ Document Register An essential log for recording and monitoring all Company Operational Procedures and Master Copy Documents Business Management Business and Office Management Tool £ 7.50 Policy/Guideline From £37.50 Total Charges £ Tool From £7.50 Template/Document From £7.50 Bulk Discounts Available Purchase 0 - 30 documents - from 5% discount Purchase 30 - 60 documents - from 10% discount Purchase 60 documents or more - from 15% discount Client Signature Type of Card Card Number Name on Card Expiry Date I wish to proceed with the purchase of the above templated Toolkit documentation A Best Practice Implementation Toolkit Version 1.0 - 09/11 Page 7 of 7 A Best Practice Implementation Toolkit Version 1.0 - 09/11 Page 7 of 7