[mk_table title=”Checklists and Templates” style=”style2″]
You have an understanding of the standards, procedures, policies, rules, and regulations which impact your investment advisory practice 1.1
The client understands the roles and responsibilities of each of the various decision-makers involved with the client’s portfolio 1.1
You use a deliberative process to help the client develop and identify their goals and objectives 1.2
You ensure that the client’s goals and objectives are consistent with all applicable regulations, statutes, and established policies and procedures 1.2
Documents which substantiate the client’s goals and objectives are centrally filed 1.2
The client’s service agreement is in writing, and is consistent with the client’s goals and objectives 1.2