Sample templates are the simple way to formalize the key requirements of Regulation Best Interest by making changes to the standard forms and adding necessary disclosures. The Sample Template 4 Pack includes Investment Discovery and Recommendations and Rollover Discovery and Recommendations.
Sample templates meet two requirements:
The samples provided in this 4 Pack are intended as a baseline to be amended as necessary to fit the requirements of the financial institution and advisor. Additionally, each sample may be customized for a specific line of business.
The templates in this set are in MS-Word format to facilitate editing.
For more information about DALBAR's QAIB, please contact Cory Clark at 617.624.7156.