Compliance & Regulations

Financial Advisors, taking notes is not enough to protect your practice

Communicate your advice to your clients. Have it in black and white. It may help to avoid "he said/she said".
Discussed It
Email your clients a meeting follow-up that outlines your recommendations and discussions.
Protect Your Practice
Regulations, such as Reg BI and others will keep coming. Have a system to help protect your practice.

You don't have to spend hours to document your advice

Typing up your advice and recommendations from scratch will waste your time. Use automation to help you document faster.

Document your advice in half the time

Fiduciary & Regulations

Spending 30-minutes plus to document your advice is not scalable.  You may in fact not document at all because how long it takes.

Using note templates, you can write your rationale once and repeatadly use with clients. Document in half the time. A repeatable and scalable process.
fiduciary regulations documenting advice
annual summary documented advice

Discussed it

You know how much time you spend explaining strategies to your clients. And you know they will forget it when they get home.

Avoid the "we didn't discuss that". Send the client a detailed follow-up email in less than 5-minutes.

Protect Your Practice

Regulation BI and other similar regulations are not going to stop. If you manually document your notes and advice, there won't be enough hours in the day soon.

Get your practice an easy to use documenting system that is searchable, repeatable and scalable. When a regulator asks you for some information, you can show  specific information in seconds.
find meeting notes financial advisor v1
Note - this is NOT legal advice. You should seek advice of an attorney for your documentation questions.

"streamlining my workflows"

"Streamlining my workflows and automating some client communication."
Josh Stubbolo
Family Legacy Financial Solutions

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Pulse360 Founder Anand Sheth

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