Available Now: 2024 QAIB Full Study

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:

  • Discovery. The Discovery templates are the prerequisite to acting in the client's best interest. These templates present the extensive array of considerations that can affect an advisor's recommendation. The client is also given the opportunity to specify the importance of each consideration. Considerations include goals, risks, expectations and sources of funds.
  • Recommendations. This template lays out the facts and circumstances that are most important to the client, the recommended solution and costs. The recommendation template permits the client to accept, reject or alter the recommendation.

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.


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