Ethics: Updating client info

should, members, general, situation, investment

Standard III (C) Suitability says that members should update a client’s financial situation and investment objectives regularly.

How often is regularly for a general rule of thumb? (Or is there an exact time)?

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发表于 2011-7-13 16:44 | 只看该作者

One should present the clients with investment statements quarterly.. but i am not sure if there is a time frame for updating client info.. I guess it should always be aligned with the clients risk tolerance and objectives and hence be as up to date as possible.

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