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Compliance - Orphan Fee Mapping

Learn how to identify and map orphan fee records to ensure accurate compliance fee reporting.

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Overview

In AdviserLogic, orphan fee records are fee entries that are not correctly linked to a client, product, or account. These typically occur due to incomplete data imports or missing relationships between records. Properly mapping these orphan fees is essential to ensure accurate fee disclosure, compliance reporting, and correct inclusion in Statements of Advice (SOA) and ongoing fee arrangements.

Proper mapping ensures fees are allocated correctly and appear in compliance reports, which is crucial for maintaining accurate financial records and meeting regulatory requirements.

Mapping orphan fees allows you to reconnect these records to the appropriate client structures, ensuring your compliance data remains complete and reliable.

💡Tip

This feature requires Administrative Tool access


​Orphan Fee Mapping

The first time a client’s fee is uploaded into Fee Upload, a mapping process is required to match the client account to the client record in AdviserLogic. While this is typically a once-off process, ongoing management may be necessary if fees revert to orphan status.

Once the file is uploaded, go to Tools > Administrative Tools > Compliance Including FOFA > FOFA Orphan Fee Records to do the mapping.


Then select the record and select Map from the top right menu panel.
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Map the client by searching their name in the search field, selecting them from the suggested clients, then selecting Done
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Once all clients have been mapped initially, the monthly uploaded data will generally be allocated to the client automatically. However, fees may occasionally revert to orphan status and require re-mapping.

Troubleshooting Missing or Misallocated Fees

Missing SOA Fees

If an SOA fee doesn’t appear in mapped or orphan records, it likely wasn’t imported. To manually add the fee:

  1. Open the client’s fees area.

  2. Select Add Fee.

  3. Enter the fee details (e.g., amount, date, reference).

  4. Save. Manually added fees are stored as file notes for compliance and audit purposes.

Misallocated Fees

To remap fees from one client to another:

  1. Open the client record with the mapped fees.

  2. Go to the Compliance section.

  3. Under the relevant account number, click the three dots on the right.

  4. Select Remap and choose the correct client.

  5. Confirm the correct client by checking identifiers (e.g., ADLID) before saving.

Fees Reverting to Orphan Status

Mapped fees may revert to orphan status if the account code is removed from a client. This can occur due to updates made from a user login. To resolve this, re-map the orphan fees as described above.

Newly Uploaded Fees Not Appearing

If newly uploaded fees don’t appear in the Compliance section or Orphan Records:

  1. Open the client’s Compliance screen.

  2. Scroll to the Fee/Charge section.

  3. Change the setting from FDS apply: Yes to FDS apply: All.

  4. Ensure all relevant fee types are selected. Recognized fees should display under the client’s Compliance section, while new/unique fees will require mapping.

Mapped Fees Not Appearing in Service Fee Disclosure

Mapped fees may not appear in the Service Fee Disclosure if the transaction date falls outside the Fixed Term Agreement (FTA) period. To resolve this:

  1. Confirm the fee is linked to the correct mapped account code.

  2. Review and adjust the FTA agreement dates to cover the payment date.

  3. Check whether the fee appears under Actual Service Fees (if the FTA is active) versus Proposed.

  4. Validate the entity selection in Compliance > Service Fee Disclosure to ensure it matches the mapped entity.

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