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regulated investment advice fact find meeting observation

Review client file for any pertinent information

Prepare necessary forms and documentation

Greet client warmly and introduce yourself

Explain the purpose of the meeting and the importance of gathering information

Set a positive and respectful tone for the conversation

Ask client to provide identification and confirm identity

Obtain client's contact information and preferred method of communication

Ask about client's occupation, family situation, and other personal details

Inquire about client's current financial situation, including income, assets, liabilities, and expenses

Ask about client's investment objectives, risk tolerance, and time horizon

Request information about any existing investments or financial products

Explain the regulatory requirements for providing investment advice

Obtain client consent to collect and use personal and financial information

Discuss the importance of maintaining confidentiality and protecting client data

Summarize key points discussed during the fact find meeting

Clarify any remaining questions or concerns

Outline the next steps in the advisory process and set expectations for follow-up communication

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