Give Clients Full Disclosure
Create a checklist for each client file, to track documents provided. --Nancy Lininger
Full Disclosure to Clients Is Important. Put disclosures on paper, in plain English. A specific disclosure (e.g., mutual fund charges or privacy) shouldn't be more than one page. Create a checklist for each client file, to track documents provided.
-Nancy Lininger is founder of The Consortium, a compliance, practice management and marketing consulting firm for RIAs and broker-dealers, in The Art of Compliance
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