Weekly Thoughts October 2012

On Tuesday this week I had my compliance officer and her superior in my office for a couple of hours to carry out one of the full audit compliance visits.  And so for days beforehand, I am pre-occupied and either preparing for it or just going through the motions of the day and waiting for it to be over.  They check operational processes, they select a sample of client files to look through, they check regulatory documents, record keeping, computer back-up systems, FSB & FIC website registration details… and so they continue.  And to think I pay for this!  Anyway, even though I had one or two admin things to fix, the ‘superior’ was actually complimentary of my overall processes.  So that’s good.

 

Believe it or not, after nearly 12 years in the business I am only now about to process my first disability claim.  A young client separated himself from his mountain bike while it was moving and can’t work for a couple of months.  So we’ll learn something.