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Compliance Register
How the compliance register builds one row per account across the book, what each fee consent, review and advice-document status means, and what the household record shows about advice readiness.
Updated 3 September 2026
What this screen is for
The Compliance Register is where you look for gaps in the evidence: a fee consent that has lapsed, a review that has slipped, advice that was never issued. It has two views. The register table lists every account in the book with its fee consent beside it. The household record, one click in, holds that household’s fee consents, reviews, advice documents and audit trail, plus a per-client card of what is still missing before advice can go out.
The page opens on a household when the address carries one or when you arrive with a household already active elsewhere in Aether; otherwise it opens on the table. Print Register prints whichever view is showing.
Nothing on this page reads tasks, and nothing here creates one.
The register table
The table is built from accounts, not households. Each client gets one row per account they hold, and a business entity’s accounts get their own rows. The accounts come from the fact-find, with any surviving rows from the older CRM account list added in. An account with more than one consent covering it appears once per consent.
Three kinds of row have no account, and the account cell says which:
| Account cell reads | Meaning |
|---|---|
| No accounts on file, “Add them in the fact find” | The client holds no accounts. The link opens the fact-find. |
| Fee not tied to an account | A consent that names no account, such as a flat retainer. Nothing is missing. |
| Covered account no longer on file | A consent whose covered account has since been deleted. The consent is kept as the record of what was signed. |
The columns are household, client, account, adviser, last review, next review, fee consent and consent expiry. Last review is the most recent review recorded on the household’s compliance record. Next review is the household’s own next review date, the same one the Reviews page shows. Click a heading to sort by it; the search box matches household, client, provider, account type, owner and the fee label.
Fee consent statuses
The status in the fee consent column is decided on the server, on today’s date in Sydney, and the page repeats it without re-deriving anything.
| Status | When |
|---|---|
| Expired | The expiry date is before today |
| Future signed | The signed date is after today |
| Historical | The consent was revoked or made inactive |
| Expiring soon | Current, and the expiry date is within the next thirty days, counting the last day |
| Active | Current and not expiring soon |
| No consent | No consent covers this account |
| Evidence unavailable | The consent record for this household could not be loaded. The row asks you to reload rather than showing “No consent”. |
The thirty-day warning window is one number on the server, shared with the fee consents page and the CRM. This page keeps no window of its own.
Under the status, the fee label is the fee plan’s name where one is attached, otherwise “Manual” with the rate, otherwise “Agreed” with the amount.
Filters, counts and the status line
The chips above the table filter to all rows, rows with no fee consent, expired, expiring soon, active, or evidence unavailable, and each carries its count. The line in the page heading summarises the same counts: it reports rows needing a reload first, then the number of expired and no-consent rows as “rows require action”, then consents approaching expiry, and only when none of those apply does it read that the register evidence is current.
The collapsed calendar card marks, per day of the month shown, each household whose next review is due and each fee consent that expires, by name — up to three names on a day, then “+N more”. The review date is the household’s next-review date — the same one the Reviews page plots, so a date pinned by hand in the CRM appears here whether or not a review has ever been recorded. A consent is plotted on its expiry day whether that day is ahead or behind: an expired consent stays on the day it lapsed. A revoked or deactivated consent is not plotted at all — it keeps its expiry date on the record, but nothing lapses on it. Reviews are marked in amber and expiries in red, a day carries a rule down its left edge in the colour of the harder deadline, and at narrow widths the names give way to a count of each; the day itself carries a spoken label with both counts. It reads every household, not just the filtered rows.
The household record
The record’s heading shows an overall status, which is the worst of three: the advice-document status, the review status and the consent status.
| Part | How it is decided |
|---|---|
| Advice document | Signed, when the latest manual SOA record carries a signed date. Awaiting signature, when a manual record exists without one. Final, when there is no manual record but a generated final or published document exists. No SOA otherwise. A manual record is always consulted before generated documents. |
| Review | From the next-due date of the most recently conducted review on this record: Overdue if it has passed, Due soon if it is within sixty days, Compliant beyond that, Not set when there is none. |
| Consent | The worst status across the household’s consents, in the order expired, expiring soon, future signed, active. |
Two things to know about the review part. It reads the latest recorded review, not the household’s next review date, so a date pinned by hand in the CRM does not change this chip. And its sixty-day window is this page’s own; the Reviews page marks a household as due soon at thirty days. The two can disagree about the same household in the weeks between.
The Compliance Register card
The first card lists each client with a readiness badge and six evidence rows. The badge is a ladder, highest rung first:
| Badge | Condition |
|---|---|
| ADVICE ISSUED | A document of type SOA is at final status. An ROA does not count here. |
| ADVICE IN PROGRESS | At least one recommendation exists and no final SOA |
| READY FOR ADVICE | Scope is complete, the fact-find is complete, and a final risk profile is recorded |
| NOT READY | Anything else |
The six rows, and what their statuses mean:
| Row | Status | Detail |
|---|---|---|
| Scope of Advice | Complete when all ten advice areas are classified, Partial when some are, Not started when none | Areas classified out of ten; Open goes to Scoping |
| Fact Find | Scope not set, Not started, In progress or Complete, the same four statuses the fact-find page reports | Topics ready out of topics in scope, or a prompt to define scope |
| Risk Profile | The final profile’s name when one is recorded, In progress when a profile has been started without a final result, Not started otherwise | The score, where one exists |
| Insurance Needs | Not applicable when insurance has been classified as anything other than in scope. Complete when a needs analysis record exists. Not started otherwise, including when scope has not been set at all. | “Insurance is out of scope for this client” on the Not applicable row |
| Recommendations | None, “N pending”, or All decided | Total, accepted and declined counts, with “awaiting client decision” while any are pending |
| Documents | Final when any SOA or ROA is at final status, Draft with the type when the latest SOA or ROA is not final, None when there are no SOA or ROA documents at all. Other document types are ignored. | The date generated |
Two of these rows deserve a warning. The Insurance Needs row reads a needs analysis record that no current screen writes, so on a practice’s own clients it reads Not started or Not applicable; see the Insurance guide. And “Not applicable” is a claim about scope, so it appears only once someone has classified insurance; an unscoped client keeps an open item.
Fee consent register
The card lists the household’s consents with the entity, the accounts covered (an account since deleted is marked “no longer on file”), the plan or rate, the annual fee, the signed and expiry dates and the status. + Fee consent opens the shared consent dialog, and the revoke control on an active consent asks for a reason before it acts. The full fee consent workflow lives on the fee consents page, linked from the card.
Review register
Reviews are listed most recent first, each with its type and meeting format, who attended, the date conducted, the next due date and the same Overdue, Due soon, Compliant or Not set status as the heading. A quiet chip says whether the minutes went to the client; a review recorded with no answer to that question shows no chip at all. Records written before the choice was reduced to sent or not sent are read through, so an older “pending client sign-off” reads as sent.
When the household’s next review has been pinned by hand in the CRM, a line above the list names the pinned date so the register’s own dates are not mistaken for it.
+ Review opens a form with these defaults:
| Field | Default |
|---|---|
| Review type | Annual review; the others are Biennial review, Ad hoc review and Initial advice |
| Meeting format | In person; the others are Video call, Phone and Written / email |
| Date conducted | Today in Sydney. A future date is refused when you save. |
| Next review due | Today plus the household’s service tier review frequency in months, or twelve months where the tier has none. |
| Minutes to client | Not sent |
Notes are optional. When you enter any, the same text is also filed as a file note against the household, headed with the review date; if that file note cannot be created the review is still saved and you are told. Import from file accepts a PDF, Word, text or Markdown file and appends its text to the notes box for you to edit. The file itself is not kept; only what is in the box when you save is stored. PDF and Word files are checked and scanned before their text is read.
Saving a review, or deleting one, also moves the household’s next review date to the latest next-due date across its recorded reviews, unless the date has been pinned by hand. If no recorded review with a next-due date remains, the date is cleared. Saving a consent or an advice document record on its own never touches that date.
SOA / ROA register
This card merges three sources into one list, most recently issued first:
- Manual records you add with + SOA / ROA: a type (SOA, ROA, FSOA or SSOA), a reference, a topic, an issued date, which is required, and an optional signed date. They read Signed or Unsigned, and they are the only rows you can delete here.
- Generated documents at final status that have not yet been issued, which read Final.
- Issued documents, with their version number, which read Published, or Superseded once a later version has been issued, and carry a View link to the issued copy.
Only SOA and ROA types appear from the generated and issued sources; a manual record can carry the other two types.
Audit trail
The last card, collapsed by default, lists changes to this household’s scope decisions, recommendations, strategies, documents, risk profiles, insurance needs analyses, advice scope and client details, most recent first and capped at two hundred entries. Each entry names the client, the type, the action, a one-line description and who made the change, or “System” where no user is recorded. You can filter by client, type, date range and user.
Saving
Changes to manual advice-document records and reviews are saved about a second after you make them, as the household’s whole compliance record. If a save fails you are told, and what you entered stays on screen so you can retry rather than retype. Fee consents are saved by their own dialog, not by this record.
What this page does not do
- Show a per-client checklist. An older checklist still exists behind the scenes, but the register card replaced it and nothing on this page reads it.
- Edit scope. The Scope of Advice row links to Scoping, which owns scope decisions.
- Move a pinned next review date, or read one into its own review chip.