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CPBD- Reg. BI Documentation Form for Client Recommendations
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CPBD- Reg. BI Documentation Form for Client Recommendations
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CPBD- Reg. BI Documentation Form for Client RecommendationsCompliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The customizable Reg. BI Documentation Form for Client Recommendations serves as an important tool to document what the broker dealers investment professional has reviewed or considered for recommendations, including reasonably available alternatives. The form documents recommendation type (product or account related), account type (brokerage advisory), and the
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Why choose thelockerguy wholesale?
Compliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The customizable Reg. BI Documentation Form for Client Recommendations serves as an important tool to document what the broker-dealer’s investment professional has reviewed or considered for recommendations, including reasonably available alternatives. The form documents recommendation type (product or account related), account type (brokerage/advisory), and the materials or information reviewed to support that the recommendation was in the best interest of the client. Members also downloaded the Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Process Flow Chart, Form CRS Relationship Summary Template for Broker-Dealers and FINRA Reg BI and Form CRS Firm Checklist.
Version/Update: V.1/August 2, 2022
Total Page Count/Format: 4/.docx
Source/Author(s): Brad Callen
(See Brad Callen's Library for additional resources)
CPBD- Reg. BI Documentation Form for Client Recommendations
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24501914617
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