Suitability Reports

 

Record, track and demonstrate compliance with suitability report requirements:

  • Client Details

  • Financial Situation

  • Investment Objectives

  • Risk Tolerance

  • Recommended Investment

  • Rationale & Return

  • Ongoing Services & Charges

  • One-Page Summary for Pension Transfers or Conversions (if applicable)

  • Insistent Client Acknowledgement (if applicable)

  • Client Acknowledgement and Declaration