Documenting Client Meetings

July 17, 2017

Is your investment adviser firm consistently covering certain key issues during client meetings and then carefully documenting these discussions and follow-up items?

It’s been our experience that designing a systematic approach to client meetings coupled with solid documentation procedures/tools is the best strategy for ensuring that all clients receive a high level service and can be extremely valuable to an investment adviser firm in proving to a securities regulator that the investment adviser firm met its fiduciary responsibility.

With this goal in mind, RIA Compliance Consultants has prepared a sample checklist to identify and document issues reviewed and discussed during a client meeting.  These items are examples of compliance issues which might make sense for inclusion in an investment adviser firm’s finalized checklist/template depending upon the circumstances.  However, please understand that this sample form is not a comprehensive.  It’s likely that there are various operational, financial planning and investment management issues/tasks which will need to be added to this sample form.

If your investment adviser firm is subscribed to our Value, Bronze, Silver, Gold or Platinum packages, the Client Meeting Notes & Checklist is included as a sample form with your package at no additional cost; you may access this sample form via your online subscription account at https://riacompliance.customerhub.net/ or by contacting your RCC compliance specialist or consultant.

Alternatively, the Client Meeting Notes & Checklist can be purchased for $125 via our online store at https://riacompliance.infusionsoft.com/app/storeFront/showProductDetail?productId=595

Posted by Grant Parr
Labels: Client Meetings, Sample Forms