[mk_table title=”Checklists and Templates” style=”style2″]
[/mk_table]
| Dimension | ||
|---|---|---|
 |
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 |