Disclosures
Disclosures
Section titled “Disclosures”Good advice depends on transparency.
This section provides the information clients should be able to review about the advisory relationship, the nature of services, and the standards applied in the process.
Advice is suitability-based
Recommendations are only made after relevant information has been gathered and assessed.
Process before product
The advisory process is designed to understand need first and implementation second.
Supporting broker context
Broker, provider, operational, and compliance support may sit behind the client-facing adviser relationship where required.
Documentation matters
Important client interactions, disclosures, and implementation steps should be properly recorded.