There are many elements of the client file that are required in order to be compliant. A compliant file is necessary, not only from an industry and regulatory perspective, but it is the advisor’s best defence in the event of a complaint or a lawsuit.
Please read the attached powerpoint presentation to learn how to protect yourself in this ever changing industry.
| Attachment | Size | Type |
|---|---|---|
| THE COMPLIANT CLIENT FILE_ENBC2016.ppt | 341 KB | application/vnd.ms-powerpoint |