Client onboarding built for FCA oversight.
Securely collect investment, pension, and KYC documents with automatic deletion.
Compliance focus
- FCA requirements supported
- GDPR requirements supported
- SM&CR requirements supported
Document types covered
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.
Pain points we solve
Less chasing, more confidence.
Docustody fixes the gaps that slow teams down and create compliance risk.
Client onboarding requires multiple secure document requests.
Regulated data is stored too long without documented retention policies.
Compliance reviews take hours to assemble evidence.
Clients do not trust email for financial documents.
Use cases
Workflows 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?
Open a financial advisors vault, send the link, and let Docustody handle the deletion and audit trail.