> For the complete documentation index, see [llms.txt](https://docs.rubica.au/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://docs.rubica.au/households/compliance-register.md).

# Compliance Register

The Compliance Register is a complete history of compliance documents for each Household — Fee Disclosure Statements, Statements of Advice, Engagement Renewals, Risk Profiles, and more.

### 📊 Summary Cards

At the top of the register, five summary cards give you an instant snapshot:

| Card                   | What it shows                                                         |
| ---------------------- | --------------------------------------------------------------------- |
| **Total Events**       | Total compliance documents on record                                  |
| **Last FDS**           | Date of the most recent Fee Disclosure Statement                      |
| **Next Renewal**       | Next Engagement Renewal due (or estimated from last renewal + 1 year) |
| **Last SOA / ROA**     | Most recent Statement or Record of Advice                             |
| **Attention Required** | Count of overdue items                                                |

### 📋 Reading the Timeline

The timeline lists every compliance event grouped by year, newest first. Each row shows:

* **Date:** when the document was delivered, plus a relative label (e.g. *3 months ago*, *Due in 14 days*)
* **Document Name**: the name of the specific document
* **Type Badge:** colour-coded category (see Document Types below)
* **Status Badge:** current status of the event
* **Adviser:** who the event is assigned to
* **Document Link:** click the link icon to open the SharePoint document directly

#### Status Badges

| Badge         | Meaning                             |
| ------------- | ----------------------------------- |
| **Completed** | Document delivered and on file      |
| **Scheduled** | Upcoming / not yet due              |
| **Due Soon**  | Due within the next 30 days         |
| **Overdue**   | Past due date, no delivery recorded |

### 🔍 Filtering the Timeline

Use the filter pills to narrow the view:

| Filter         | Shows                             |
| -------------- | --------------------------------- |
| **All**        | Every event                       |
| **Engagement** | Engagement Renewal documents only |
| **FDS**        | Fee Disclosure Statements only    |
| **SOA / ROA**  | Statements and Records of Advice  |
| **⚠ Alerts**   | Overdue and Due Soon items only   |

If any alerts exist, a yellow banner appears at the top of the register. Click **View alerts →** to jump straight to the filtered view.

### ➕ Adding a New Event

<figure><img src="https://3555949013-files.gitbook.io/~/files/v0/b/gitbook-x-prod.appspot.com/o/spaces%2FqzoPnlIGiL5ejRdJEq5X%2Fuploads%2F3EzcGh4Aa0IRSTpaxEqY%2FCompliance%20Register%20GIF.gif?alt=media&amp;token=a1de85e8-70b6-4897-b1f5-c7d66dfcef02" alt=""><figcaption></figcaption></figure>

1. Click **New Event** in the top-right of the Compliance Register panel
2. Fill in the form:
   * **Document Type:** select from the picklist
   * **Document Name:** the name of the specific document (e.g. *AML Risk Rating*, *FY2025 FDS*)
   * **Date Delivered:** the date the document was given to the client
   * **Due Date:** *(optional)* if the document has a future deadline
   * **Document Link:** paste the SharePoint link to the document file
   * **Quick Notes:** *(optional)* any short context or notes
3. Click **Save Compliance Event**

The event will appear in the timeline immediately.

### 🗂️ Document Types

| Type                             | Description                                     |
| -------------------------------- | ----------------------------------------------- |
| Engagement Renewal               | Annual renewal of the client service agreement  |
| Fee Disclosure Statement         | Annual FDS required under best interests duty   |
| Statement of Advice              | Full SOA — new strategy or major recommendation |
| Record of Advice                 | ROA — ongoing or implementation advice          |
| Authority to Proceed             | Client sign-off to implement a recommendation   |
| Financial Plan                   | Comprehensive financial plan document           |
| Client Agreement                 | Initial or updated client service agreement     |
| AML Risk Rating                  | Anti-money laundering risk assessment           |
| Risk Profile                     | Client risk tolerance assessment                |
| TFN Declaration                  | Tax File Number declaration form                |
| Authority to Release Information | Third-party information release authorisation   |
| FSC                              | Financial Services Council document             |
| FSG                              | Financial Services Guide                        |
| Investment Policy Statement      | Documented investment mandate / IPS             |
| Letter of Engagement             | Initial engagement letter                       |
| Discussion Paper                 | Topic-specific discussion document              |
| Other                            | Any document not covered above                  |

### 💡 Tips

* **Document Link:** always paste the direct link to the file so anyone on the team can open the document with one click from the client record
* **Document Name:** be specific. Instead of *FDS*, use *FY2025 Fee Disclosure Statement* so the history is easy to read at a glance
* **Due Date:** use this for upcoming documents (e.g. a scheduled renewal) so the register surfaces them as *Scheduled* or *Due Soon* before they are delivered