We don’t mean to sound condescending, but based on our experience after checking thousands of files, the most common suitability report errors are typing, spelling and grammatical.
The suitability report is a cornerstone of your advice process and promotes your brand and standards of professionalism. A suitability report that is poorly written, unchecked and not proof read is likely to include errors and hence does not promote your brand in a favourable light.
Using a tool like ATEB Suitability will eliminate to a greater degree such errors by storing standardised text centrally. You can also use a browser with a built in spell checker to check your spelling as you go.
Can you advise on Shares?
Paul Jay Compliance 2018, FCA, MiFID, Pension, PI, protection, Register, Security, transfer
What do you do? Your client has inherited some (insert company name) shares and she asks you, as her trusted financial planner, what to do with them. Do you tell her that you don’t advise on individual shares and recommend that she goes to a stockbroker? But wait, that loses you credibility and might […]