Checklists & Resources

Deal File compliance checklist for dealership reviews

Use this framework to make reviews more consistent. It is not a universal regulatory checklist: tailor each section to the deal type, your firm's permissions, lender or provider requirements and approved policies.

Deal identity and status

Confirm the Deal File identifies the relevant vehicle, customer, dealership, responsible staff and current status. Check that duplicate or abandoned records are handled under an agreed process.

Expected documents

Review whether the configured requirements for this deal type are present, correctly categorised, legible and associated with the right customer and vehicle.

  • Order and sales documentation
  • Vehicle and part-exchange evidence
  • Finance or insurance documents where applicable
  • Relevant identity or eligibility evidence
  • Handover, invoice and customer communication records

Process and customer context

Check that required reviews, disclosures, support needs, decisions and exceptions are evidenced in the appropriate place. Do not assume the presence of a signed form proves the quality of the customer outcome.

Actions and exceptions

Confirm missing items have an owner and due date, material exceptions were escalated, and the Deal File was not marked complete simply to remove it from a report.

Access, retention and closure

Confirm access is appropriate, sensitive data follows the dealership's controlled retention approach and final closure or archive has the required approval. Record the review and any corrective action.

See Deal File management features