Module 6 Check
Compliance, Reporting & Advanced Tools
Stay compliant, see what your business is doing, and pick up the tools that make a difference at scale.
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6
Quiz Questions
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3
Practice Tasks
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Part 1
Test your knowledge
Question 1
Where should you upload your credit guide and privacy policy?
A
In your account's compliance/legal settings
B
Directly into a client's fact find
C
In the referral partner portal only
D
They can't be uploaded, only linked externally
▸ Show answer
Correct answer: A. Credit guide, privacy policy and terms & conditions are uploaded in your compliance/legal account settings.
Question 2
What can you check using the audit and activity history?
A
Only billing history
B
A record of changes and activity across your account
C
Only client login times
D
Only email delivery status
▸ Show answer
Correct answer: B. Audit and activity history gives a record of actions taken across the account, useful for compliance review.
Question 3
What is AI Smart Reporting designed to do?
A
Generate business reports and insights using AI
B
Automatically sign documents
C
Redact sensitive documents
D
Book client meetings
▸ Show answer
Correct answer: A. AI Smart Reporting surfaces business insights and reports, including a Q&A style interface for asking questions of your data.
Question 4
How can you keep on top of a saved report without checking it manually every time?
A
Schedule an email summary of it
B
There's no way to automate this
C
Print it every day
D
Ask a referral partner to check it
▸ Show answer
Correct answer: A. Report summaries can be scheduled to arrive via email from advanced reporting, rather than checking manually.
Question 5
What does the SLA report track?
A
Service level performance, such as response times
B
Referral partner commissions
C
Document storage usage
D
Calendar bookings
▸ Show answer
Correct answer: A. The SLA report monitors service-level metrics such as how quickly leads or tasks are actioned.
Question 6
What is the Upcoming Birthdays feature intended to support?
A
Automated loan approvals
B
Stronger client relationships through timely outreach
C
Compliance audits
D
Lender panel management
▸ Show answer
Correct answer: B. It surfaces upcoming client birthdays so brokers can reach out and strengthen the relationship.
Part 2
Practice in your portal
Use practice leads, not live clients, for all of the tasks below.
1
Upload compliance documents and check your audit trail
- Upload your credit guide.
- Upload your privacy policy and terms & conditions.
- Open the audit/activity history and review what you changed today.
2
Build and schedule a report
- Create one custom report relevant to your business.
- Save it as a favourite.
- Schedule an email summary of it to be sent automatically.
3
Turn on birthdays and check billing
- Enable the Upcoming Birthdays feature.
- Open your billing settings and confirm your details are current.
- Confirm the correct person is set as the billing contact.
Passed the quiz and finished the tasks? Head back to your learning path and move on to the next module.
Back to Onboarding Course →© 2026 Effi. All rights reserved.
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