Client File Tools and Templates

Are you files sufficient?

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Client File Tools and Templates

Here are some essential resources to organize and streamline your Client Files

Insurance

Record Keeping - HFI Guidance

Best Practices for Maintaining Accurate and Secure Client Records

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HUB Disclosure Sample Template

Ensure Transparency with a Clear and Compliant Disclosure

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Privacy Consent

Communicate Your Privacy Practices Clearly to Clients

Privacy Consent Document

Broker Privacy Statement Client Consent

Needs Analysis

Assess Client Needs to Recommend the Right Coverage

Access here

workignwithclientoncompliancerequirements

Life Insurance Replacement Declaration

Properly Declare and Justify Policy Replacements

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Trusted Contact

Gain Authorization to Engage a Trusted Contact When Needed and Document and Secure a Client’s Trusted Contact Information

Trusted Contact Person Form

Trusted Contact Consent

Advantages and disadvantages of replacement

Understand the Pros and Cons Before Replacing a Policy

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AMF Notice of Replacement Form

Official Form for Complying with AMF Replacement Regulations

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officeworkerwithnotepadandtablettalkingnotesformeeting

Reason Why Template

Document Your Recommendations with Clarity and Compliance

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Investments

Fee Disclosure Document

Properly Declare and Justify Policy Replacements

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Leveraging Risk Disclosure

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Leverage Worksheet

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Segregated Fund Know Your Client

Gather Essential Client Information to Support Suitable Investment Decisions

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Canada Life Segregated Funds Sales Suitability

Ensure Product Recommendations Align with Client Needs and Risk Profile

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Needs Analysis

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Trusted Contact Consent

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Client Meeting Notes Document (Segregated Funds)

Capture Key Discussions and Action Items for Compliance and Follow-Up

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Investor Profile Questionnaire "Online" (fillable)

Assess Risk Tolerance and Investment Objectives.

Download

Investor Profile Questionnaire "Manual" (non-fillable)

Assess Risk Tolerance and Investment Objectives

Download

Insurance
Investments

Record Keeping - HFI Guidance

Best Practices for Maintaining Accurate and Secure Client Records

Download

HUB Disclosure Sample Template

Ensure Transparency with a Clear and Compliant Disclosure

Download

Privacy Consent

Communicate Your Privacy Practices Clearly to Clients

Privacy Consent Document

Broker Privacy Statement Client Consent

Needs Analysis

Assess Client Needs to Recommend the Right Coverage

Access here

Life Insurance Replacement Declaration

Properly Declare and Justify Policy Replacements

Download

Trusted Contact

Gain Authorization to Engage a Trusted Contact When Needed and Document and Secure a Client’s Trusted Contact Information

Trusted Contact Person Form

Trusted Contact Consent