Annual Review ISA and GIA Template

Modified on Sun, 15 Nov, 2020 at 8:42 PM

ATEB Template

Start with the ATEB template named ‘Annual Review ISA and GIA Template’. You will find this in the ‘Sample Templates’ tab on the ‘Templates’ page. The template has been pre-populated with basic information that is not client specific (see table below).

Firm Specific Template

Create your own version of the template using the ‘Duplicate Template’ button. Give it a meaningful name. Modify the template to make it firm specific, for example by adding company and/or adviser details. Consider the comments in the table below under the column ‘to be considered’ when modifying or creating templates based on the ATEB version.

Test Template

You may not get the template right first time; therefore, once the template is created, use it to generate a client specific test report. Based on the generated report, you may need to amend the template further. Repeat this testing process until you have a template which enables full client specific personalisation but contains common standard content. The time spent here will save hours going forward.

Important Notes

Prior to use, your template should be checked by your compliance department or compliance consultant.
This template is provided only as a guide. ATEB IT Solutions Ltd does not accept legal or regulatory responsibility for the contents of the template.

ATEB Suitability Section	ATEB template defaults	To be considered
Getting Started
	Defaulted to individual (single) client	Amend as necessary
	Letter Heading: ‘Your Annual Review’	Amend as necessary
	Remainder of section blank to allow for case-by-case personalisation
Review Details
	Default ‘Introduction’ text included as standard	Amend as necessary
	‘Existing Plans’ table set to ‘ISA’ and ‘GIA’	Consider if further standardisation required
	Assumes ‘Fund Performance’ review will be included as standard	Amend as necessary
	Default ‘Attitude to Risk’ category selected	To be entered on a case by case basis
	Default ‘Capacity for Loss’ text included as standard	Amend as necessary
	Assumes original ‘Investment Objectives’ continue to apply	Amend as necessary
	Remainder of section blank to allow for further personalisation as standard
Fund Performance
	‘Select Plans’ drop down assumes GIA and ISA invested in same fund/portfolio	Amend as necessary
	‘How would you like to add your performance comparison?’ set to ‘Complete a Table’	Amend as necessary
	Remainder of section blank to allow for case-by-case personalisation
Further Information
	Default ‘Summary’ text selected as standard	Amend as necessary
	‘Next Steps’ assumes authority to proceed form to be enclosed within the letter	Amend as necessary
	Default ‘Next Review’ text selected as standard	Amend as necessary
	Assumes ‘Costs and Charges’ statement won’t be enclosed within the letter	Amend as necessary
Appendices
	‘Appendices’ assumes Attitude to Risk definitions to be included within the letter.	Amend as necessary