Financial Advisors
Client onboarding built for FCA oversight.
Securely collect investment, pension, and KYC documents with automatic deletion.
Advisory firms manage sensitive financial data that cannot live forever in shared drives. Docustody gives IFAs a secure vault for each client, with clear consent and deletion timelines.
Clients always know what is needed, and compliance teams can export detailed audit trails for FCA reviews in seconds.
Compliance focus
- • FCA requirements supported
- • GDPR requirements supported
- • SM&CR requirements supported
Document types covered
- • Proof of ID and address
- • Pension statements
- • Investment statements
- • Source of wealth evidence
- • Fact find and suitability forms
- • Signed advice documents
Pain points we solve
Less chasing, more confidence.
Docustody fixes the gaps that slow teams down and create compliance risk.
Use cases
Workflows tailored for Financial Advisors
New client onboarding
Collect KYC documents, fact finds, and consent forms in one secure request.
Annual review refresh
Gather updated statements and reports without storing older files past retention limits.
Advice file audits
Export a full audit trail when regulators request evidence of document handling.
Proof points
- • Dedicated client portals with clear consent and timeline controls.
- • Automated deletion aligns with GDPR data minimisation.
- • Audit exports are formatted for compliance reviews.
“Our FCA audit prep dropped from days to hours because every document action is logged.”
Maya Singh · Compliance Manager
Resources
Checklists and guides for Financial Advisors
Use these resources to educate clients and keep every request consistent.
FAQs
Frequently asked questions
Can we align retention with our compliance manual?
Yes. Retention rules can be configured to match your internal policies or client-specific agreements.
How do clients access their vault?
Clients receive a secure, expiring link and can see which documents you have accessed.
Does Docustody support adviser teams and paraplanners?
Role-based permissions keep file access limited to the right team members, with full visibility for managers.
Ready for secure document collection?
Launch a financial advisors vault in minutes and keep documents only as long as necessary.