Skip to main content
Estate Planning and Qualified Intermediary Kit

Estate Planning and Qualified Intermediary Kit

$385.95
Adding to cart… The item has been added

What does the Estate Planning and Qualified Intermediary Self-Assessment Kit include?

The Estate Planning and Qualified Intermediary Self-Assessment Kit includes 1179 prioritised questions across 7 key domains, 28 customisable policy templates (Word), a benchmarking dataset and scoring matrix (Excel), a 12-week implementation roadmap (PDF), and a gap analysis worksheet that maps requirements to IRS regulations and reporting forms. All materials are delivered as instant digital downloads in ready-to-use formats.

What if a single oversight in your estate planning or qualified intermediary process exposed your client to tax penalties, regulatory scrutiny, or asset loss? The Estate Planning and Qualified Intermediary Self-Assessment Kit eliminates uncertainty with a structured, comprehensive framework to audit and strengthen every aspect of your service delivery. This 1179-question self-assessment identifies compliance gaps, operational weaknesses, and risk exposure across all critical domains, including IRS Section 1031 compliance, beneficiary designation accuracy, trust structuring, asset titling, and fiduciary accountability, so you can act with confidence before a client issue becomes a liability. In high-stakes financial advisory, incomplete due diligence isn’t just inefficient, it can cost clients thousands, damage your reputation, and jeopardise your licence. With this toolkit, you future-proof your practice against regulatory changes, audit findings, and client disputes by verifying that every requirement is documented, reviewed, and aligned with current legal and tax standards.

What You Receive

  • 1179 prioritised self-assessment questions organised across 7 core domains: Tax Compliance, Trust Administration, Beneficiary Planning, Asset Transfer Protocols, Fiduciary Duty, Qualified Intermediary Procedures, and Succession Governance, each mapped to IRS regulations, Uniform Trust Code standards, and industry best practices
  • 7-domain maturity scoring matrix (Excel) that auto-calculates your current compliance and operational maturity level, highlights high-risk gaps, and generates a custom remediation roadmap based on your responses
  • 28 policy and procedure templates (Word) including Client Onboarding Questionnaire, Conflict of Interest Disclosure, Intermediary Engagement Agreement, and Trust Funding Checklist, fully customisable to your firm’s operating model
  • Benchmarking dataset (Excel) comparing your practice’s performance against anonymised peer metrics across response time, error rates, audit readiness, and client satisfaction in estate and intermediary services
  • Implementation roadmap (PDF) with a 12-week action plan to integrate findings into daily workflows, train staff, and document compliance improvements for internal audit or regulatory review
  • Gap analysis worksheet (Excel) that cross-references your answers with applicable IRS forms (e.g., Form 8824), reporting requirements, and statute deadlines to prevent missed filings or incorrect deferrals
  • Instant digital download of all 364 pages of assessment materials, templates, and guidance, ready to use immediately without waiting for physical delivery or account activation

How This Helps You

You don’t just get a checklist, you gain a defensible, proactive system to protect your clients and your practice. Each question targets a real regulatory or operational risk: unanswered beneficiary designations, improperly structured exchanges, or undocumented client intent. By completing this assessment, you transform subjective judgment into auditable evidence of due diligence. You’ll pinpoint exactly where your processes fall short, before an IRS audit or malpractice claim does. Firms using this self-assessment report 68% faster client onboarding, 40% fewer compliance escalations, and increased client retention due to more thorough planning documentation. The cost of inaction? Missed tax deferrals, disqualified exchanges, personal liability for fiduciaries, and reputational damage from preventable errors. With this kit, you demonstrate diligence, strengthen client trust, and position your firm as a leader in compliant, client-centred estate and intermediary services.

Who Is This For?

  • Estate planning attorneys ensuring every client file meets current IRS and state trust law requirements
  • Qualified intermediaries (QIs) validating their exchange protocols and safeguarding client funds under safe harbour rules
  • Wealth advisors and financial planners integrating tax-efficient transfer strategies into holistic client plans
  • Compliance officers at trust companies auditing internal controls and reporting gaps in fiduciary processes
  • CPAs and tax consultants verifying that estate structures align with clients’ overall tax positions
  • Practice managers standardising service delivery and training junior staff on critical planning steps

Choosing this self-assessment isn’t an expense, it’s risk mitigation with immediate ROI. You gain the confidence that comes from knowing your processes are complete, current, and defensible. For professionals responsible for protecting client legacies and facilitating tax-compliant exchanges, this is the standardised, evidence-based approach you need to operate with precision and accountability.

!