Provide the agreed objective and recommendation direction, current client facts and risk evidence, relevant existing-plan data, firm templates and compliance requirements, named owners, dependencies and the required date. Transfer client data only through the approved secure workspace—not a public form or ordinary ad-hoc link.
1. Scope and ownership
- Named adviser, case owner and escalation contact
- Required deliverable and case type
- Client objectives, priorities and constraints
- Recommendation direction and decisions still reserved to the adviser
- Agreed deadline and known external dependencies
2. Current client evidence
- Complete, dated fact-find and material changes since it was completed
- Risk profile, capacity-for-loss evidence and relevant client explanations
- Objectives, time horizon, knowledge and experience, and foreseeable income needs
- Tax position and allowances relevant to the proposed work
- Health, vulnerability, identity, bank or source-of-funds evidence only where necessary and only through the secure workspace
3. Existing arrangements and research inputs
- Current statements, valuations and provider information
- Charges, guarantees, safeguarded benefits, penalties and relevant plan features
- Contribution, withdrawal and beneficiary details where relevant
- Prior advice or recommendations needed to understand the current position
- Any provider information still outstanding and who is obtaining it
4. Firm requirements
- Current report template and approved wording
- Research methodology, preferred tools and panel restrictions
- Compliance checklist and evidence standards
- File-naming, version-control and approval route
- Any network or discretionary permissions affecting the case
5. Acceptance check
CPS confirms completeness, conflicts, complexity, fee and target date before the case enters production. Contradictory facts, missing provider evidence or a material change can pause the target or trigger re-scoping.
This is an operational checklist, not a universal regulatory checklist. Each firm must apply its permissions, procedures, product rules and case-specific compliance requirements.
Frequently asked questions
When does the turnaround target start?
The CPS target starts only after the case pack is complete, internally consistent, in scope and accepted with the fee and deadline confirmed.
Should client documents be sent through the public website?
No. The website forms are for firm-level enquiries only. Client documents and special-category data must wait for the approved secure workspace.
What happens if the recommendation or facts change?
A material change can pause the target and require a revised scope, fee or delivery date. The adviser should flag changes as soon as they arise.
Related guidance
- FCA: Outsourcing and operational resilience
- CPS: How the handover workflow works
- CPS: Security and confidentiality model
This checklist supports scoping and handover. It does not determine suitability or replace the engaging firm’s procedures.