Form CRS Delivery and Acknowledgment Tracking Log

Tracks delivery of the Form CRS relationship summary to retail investors within required timelines and maintains evidence of compliance.

Delivery Record Details

• Delivery Date
  Date the Form CRS relationship summary was delivered to the retail investor.
• Delivery Time
  Optional time of delivery if your recordkeeping process requires it.
• Delivery Method
  How the Form CRS was delivered to the investor.
• Delivery Status
  Indicate whether delivery was completed on time or requires follow-up.
• Investor Type
  Confirm the recipient is a retail investor for this record.

Recipient and Account Reference

• Client Reference ID
  Internal client or household reference used for recordkeeping.
• Account Number Last 4 Digits
  Optional masked account reference if needed for audit trail. Do not enter full account numbers.
• Recipient Name
  Optional name only if your compliance process requires it. Collect only what you need.
• Primary Contact Channel
  Channel used to send or confirm delivery, if applicable.

Evidence of Delivery

• Evidence Type
  Select all evidence types that support the delivery record.
• Acknowledgment Received?
  Indicate whether the investor acknowledged receipt of the Form CRS.
• Acknowledgment Date
  Date acknowledgment was received, if applicable.
• Supporting Evidence Attachment
  Upload supporting documentation such as a delivery receipt, email confirmation, or acknowledgment record.

Exceptions and Follow-Up

• Exception Reason
  Select the reason delivery was not completed on time or requires remediation.
• Follow-Up Required?
  Indicate whether corrective action or re-delivery is needed.
• Follow-Up Action
  Describe the corrective action taken or planned, such as re-sending the Form CRS or updating contact details.
• Follow-Up Due Date
  Date by which the follow-up action should be completed.

Compliance Review and Audit Trail

• Submitted By
  Name or identifier of the employee entering the record.
• Reviewed By
  Compliance reviewer or supervisor, if review is required.
• Review Date
  Date the record was reviewed for completeness and compliance.
• Retention / Audit Notes
  Add any notes needed for retention, audit trail, or exception documentation. Avoid unnecessary PII.