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Record Keeping and Structuring Records of Advice


Where claims are concerned, a lack of information can make cases difficult to defend. As a guide (though not a liability test), when a claim comes in, files with five or more attendance notes (or clear records of advice given) tend to be easier to defend than those with fewer than five.

Having a template for attendance notes sets a consistent framework for delivering good service and ensures that there is a record demonstrating that the client was fully advised. This, in turn, is a good risk mitigant, preventing claims and complaints, especially when dealing with “difficult” clients.

Download the Risk Note from John Kunzler, Head of Financial and Professional Liability, for hints and tips on record keeping.