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Run: Form CRS Delivery and Acknowledgment Tracking Log

Track Form CRS delivery, acknowledgments, exceptions, and audit trail in one log. Use it to document when each retail investor received the relationship summ...

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Delivery Record Details

Delivery Date (required)

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 (required)

How the Form CRS was delivered to the investor.

Delivery Status (required)

Indicate whether delivery was completed on time or requires follow-up.

Investor Type (required)

Confirm the recipient is a retail investor for this record.

Recipient and Account Reference

Client Reference ID (required)

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 (required)

Select all evidence types that support the delivery record.

Acknowledgment Received? (required)

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 (required)

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.

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