Tools For Compliance

This document allows you to confirm receipt of information.

This form can be used to fully disclose your compensation, education, knowledge, and expertise to a prospect and/or client.

This agreement can be used to fully disclose the terms of your financial planning relationship with a client.

Keep yourself in “compliance check” as you work with an individual client. This document will keep you organized.

Are you at risk for a lawsuit? Find out with this test that will tell you just how “at risk” you are.

This checklist will help you maintain client records.

This explanation provides an advisor with security by providing written acknowledgement that all prospectuses and information have been received and...

This document confirms receipt of a prospectus.

This document confirms receipt of a prospectus.

How are you doing with your recordkeeping? Don’t know? Use this checklist to ensure you are staying on track.