Welcome to Compliance Evidencing; a Trail feature exclusively for KAN members to make meeting compliance requirements and file reviews a breeze! 👍

For all Mortgage, Insurance, and Investment advice opportunities, you can now click on these (whether they are Open/ Closed) to temporarily turn their Profile Timeline into the corresponding Compliance Evidence page which shows the breakdown of the 6 steps of advice.

Any KAN-enabled Trail account with access to the client profile can assign items as evidence for each stage. When you win the opportunity, you can be confident that you are meeting your compliance requirements with KAN.

Currently in NZ's financial advice industry, good record-keeping is part of your compliance obligations.

However, in Trail with multiple opportunities for each client, it can be hard to track the necessary documents and emails for audits.

To simplify this, we've launched a new feature in Trail where you can assign evidence from a client's Profile Timeline or Documents page to individual Advice Opportunities. This helps you keep records for the right amount of time and see what evidence relates to each opportunity at a glance.

Everything will be exactly where you need to be for file reviews by KAN or third parties, or if you receive a complaint. No more searching for a needle in the haystack - your evidence for each step of advice will be stored with the correct opportunity! 🎉

To view the Compliance Evidence page for any advice opportunity, go to any client's profile and scroll down to the Opportunities box. Click on an open advice opportunity to bring up the existing summary sidebar as well as the Compliance Evidence page.

From here, you will be able to see the advice process broken up into six stages, with space to assign evidence to each stage. These stages serve as compliance "guard-rails" to help provide you with direction in how to meet your compliance requirements while providing advice. This page will serve as your compliance record that you can refer back to both during and after giving advice 👍

To make evidencing as easy as possible, there are a number of ways you can assign either emails, notes, activities, or documents as evidence to a particular opportunity.

When in an opportunity's compliance evidence page, you are given an option to Assign or Add New under each individual stage. This is a quick way to assign evidence to a particular opportunity and stage without leaving the page.

Click Assign to see the client's timeline, where you will be able to select one or multiple items from the timeline to assign to the stage you selected earlier. Click Confirm to save your selected records or Cancel to go back without assigning anything.

You can now create a new note or activity in a client's profile and assign it to an opportunity straight away.

At the top of the profile, click on either the Add Note or Add Activity button to create a new timeline item. You will now see a new Assign as Evidence section at the bottom of the window which can be switched on and off. Toggle it on to bring up drop-down menus where you can choose the correct opportunity and stage to assign the item to.

From here you can also assign the item to additional opportunities if the same item is relevant for more than one - simply click + Assign to New Opportunity. When you click save, the item will be created and appear both on the timeline and under the relevant stage in the Compliance Evidence view.

If you find an item in the Timeline that you would like to assign as evidence, you can do that quickly by clicking the 3-dot menu.

Click Assign as Evidence from the menu to bring up a new window. For notes and activities, this will bring up the Edit window where the Evidence functionality will be switched on by default - simply select the opportunity and stage from the drop-downs. For emails or documents, this will bring up a smaller window with only the drop-down menus. Click Save and the items will be successfully assigned.

If you've received or uploaded a file that you would like to assign as evidence, you can do this via the client's Documents page.

Click Assign as Evidence from the 3-dot menu for any document found within the Uploaded Files, Email Attachments, or Note Attachments tabs to bring up the evidence window.

Note: Assigned documents that are not attached to an existing note or email will be visible in the Compliance Evidence view but not on the client's Timeline.

You may find that you change your mind and decide to remove particular items from an evidence stage. The easiest way to do this is directly from the Compliance Evidence view.

Find the item you want to remove and click the 3-dot menu. Select Unassign Evidence and the item will disappear from the stage. It will still be visible in the Timeline view and assigned to any other opportunities, but will no be assigned to the one you have removed it from.

Items can also be unassigned any time while you are editing them. Either toggle the Assign as Evidence option to off to unassign the item from all opportunities at once, or click the X button to the right of a particular opportunity to unassign it from just that instance.

Note: If you delete an item or move it to a new profile, it will be automatically unassigned from any opportunities it was attached to previously.

When you have finished assigning evidence to a particular stage, you will need to mark that stage as complete. This is to remind yourself what stages of the advice process you have completed, but also declares that you have assigned as much evidence as you intend to for that stage.

Stages can be marked as complete even if there is no evidence assigned to them. If you have no evidence to assign for that step, simply mark it as complete straight away.

To mark a stage as complete, navigate to that stage in the Compliance Evidence view, and click the circle in the top right corner. It will go green and the stage will compress by default. If you change your mind, you can click the circle again to mark the stage as incomplete.

Evidence can be assigned to stages regardless of whether they have been marked as complete or incomplete, but you won't be able to win an opportunity without all stages being marked as complete.

In order to win an advice opportunity, all advice stages will need to be marked as complete. Completed stages do not need to all contain evidence, so if you have no evidence to assign, simply mark each stage as complete and continue.

All advice stages only need to be marked as complete if you win the opportunity. If you lose or archive an opportunity, simply evidence as far as you have gotten in the process - this will be saved and viewable later.

If you need to look back at the evidence for a particular opportunity, whether it be won, lost, or archived, this can be done from a client's profile.

Scroll down to the opportunities box and select either the Won, Lost, or Archived tab. Select an opportunity from the list to bring up a read-only record of the Compliance Evidence view. From here you can view the evidence you assigned to each advice stage at any time.

As of July 2024, many emails sent from within Trail will be automatically assigned as evidence at the appropriate stage. You may still reassign them if needed but we hope this reduces the admin work involved in this process 😊