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Suitability – Recommending Proprietary Investment or Fund Checklist


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Suitability – Recommending Proprietary Investment or Fund Checklist

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This sample checklist is intended for use when an investment adviser firm recommends to (or selects for) its retail investment advisory client a proprietary investment or fund which is sponsored or otherwise involves the investment adviser firm, its affiliates or its related persons. Last updated in February 2023. Included with Silver, Gold, Platinum & Titanium packages. If you do not belong to one of these packages and would like to access this form, it can be purchased a la carte:Here

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