Client Document Collection SOP
Finance | SOP

Use this when: Getting documents from clients takes too many reminders, or arrives through insecure channels.

Owner: [client service lead]

1. Build the checklist for this client and service, from your standard list.
2. Send it through your secure portal, with a due date.
3. Ask clients not to email sensitive documents.
4. Log what's arrived, and check that it's complete and legible.
5. Send a reminder at [X days], then call at [Y days].
6. If a document arrives through an insecure channel, move it to the secure system and follow your policy for the original.
7. Have the responsible person review it and flag any gaps.
8. Keep records for the period your regulator requires.
9. Note repeated delays so you can improve the checklist.

Before you use this: Align this with your regulator's record-keeping rules and your privacy policy.

Fill in the items in square brackets and adapt this to your business.
Free template from SAZ: https://playbooks.saz.ca/p/finance-sop