Principal advisor client file oversight

Answers are general operational information only — not legal, tax, regulatory, clinical, privacy, immigration, or professional advice. Requirements vary by matter, client, and regulator.

Frequently asked questions

Can principals see all associate client files?

On a shared business account, principals and co-agents access household records per your account configuration. Enterprise supports multi-advisor workflows.

Does Hivi-X replace compliance sign-off?

No. Hivi-X organizes intake. Suitability and compliance approval remain with designated principals and compliance officers.

What helps exam readiness?

Timestamped uploads, advisor approve/reject actions, voice summaries, and exportable packages that show what was collected and reviewed.

More Financial Planning guides

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