| HUB International

Client File Tools and Templates

Essential Resources to Organize and Streamline Your Client Files

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HUB Disclosure Sample Template

Ensure Transparency with a Clear and Compliant Disclosure

Record Keeping - HFI Guidance

Best Practices for Maintaining Accurate and Secure Client Records

wiselytakingnotes

privacyuserpc

Privacy Consent Document - HUB Template

Best Practices for Maintaining Accurate and Secure Client Records

Broker Privacy Statement Client Consent - HUB Template

Communicate Your Privacy Practices Clearly to Clients

officeworkergettingtemplateready

handingsheets

Reason Why Template

Document Your Recommendations with Clarity and Compliance

Life Insurance Replacement Declaration

Properly Declare and Justify Policy Replacements

pointofconvo

readingnotes

Advantages and disadvantages of replacement

Understand the Pros and Cons Before Replacing a Policy

AMF Notice of Replacement Form

Official Form for Complying with AMF Replacement Regulations

officeworkerwithnotepadandtablettalkingnotesformeeting

workignwithclientoncompliancerequirements

Needs Analysis

Assess Client Needs to Recommend the Right Coverage

Trusted Contact Consent

Gain Authorization to Engage a Trusted Contact When Needed

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Trusted Contact Person Form

Document and Secure a Client’s Trusted Contact Information

pointofconvo

Fee Disclosure Document

Properly Declare and Justify Policy Replacements

Leveraging Risk Disclosure

readingnotes

officeworkerwithnotepadandtablettalkingnotesformeeting

Leverage Worksheet

Segregated Fund Know Your Client

Gather Essential Client Information to Support Suitable Investment Decisions

threecowerkesbrainstorming

reviewingntioesofmmetting

Canada Life Segregated Funds Sales Suitability

Ensure Product Recommendations Align with Client Needs and Risk Profile

Needs Analysis

workignwithclientoncompliancerequirements

twoepoplelaughingatevent

Trusted Contact Consent

Client Meeting Notes Document (Segregated Funds)

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

groupofplanners

personholdingglasseschatting

Investor Profile Questionnaire "Online" (fillable)

Assess Risk Tolerance and Investment Objectives

Investor Profile Questionnaire "Manual" (non-fillable)

Assess Risk Tolerance and Investment Objectives

presentingideastoclient

Insurance
Investments

reviewingntioesofmmetting

HUB Disclosure Sample Template

Ensure Transparency with a Clear and Compliant Disclosure

Record Keeping - HFI Guidance

Best Practices for Maintaining Accurate and Secure Client Records

wiselytakingnotes

privacyuserpc

Privacy Consent Document - HUB Template

Best Practices for Maintaining Accurate and Secure Client Records

Broker Privacy Statement Client Consent - HUB Template

Communicate Your Privacy Practices Clearly to Clients

officeworkergettingtemplateready

handingsheets

Reason Why Template

Document Your Recommendations with Clarity and Compliance

Life Insurance Replacement Declaration

Properly Declare and Justify Policy Replacements

pointofconvo

readingnotes

Advantages and disadvantages of replacement

Understand the Pros and Cons Before Replacing a Policy

AMF Notice of Replacement Form

Official Form for Complying with AMF Replacement Regulations

officeworkerwithnotepadandtablettalkingnotesformeeting

workignwithclientoncompliancerequirements

Needs Analysis

Assess Client Needs to Recommend the Right Coverage

Trusted Contact Consent

Gain Authorization to Engage a Trusted Contact When Needed

twoepoplelaughingatevent

threecowerkesbrainstorming

Trusted Contact Person Form

Document and Secure a Client’s Trusted Contact Information

pointofconvo

Fee Disclosure Document

Properly Declare and Justify Policy Replacements

Leveraging Risk Disclosure

readingnotes

officeworkerwithnotepadandtablettalkingnotesformeeting

Leverage Worksheet

Segregated Fund Know Your Client

Gather Essential Client Information to Support Suitable Investment Decisions

threecowerkesbrainstorming

reviewingntioesofmmetting

Canada Life Segregated Funds Sales Suitability

Ensure Product Recommendations Align with Client Needs and Risk Profile

Needs Analysis

workignwithclientoncompliancerequirements

twoepoplelaughingatevent

Trusted Contact Consent

Client Meeting Notes Document (Segregated Funds)

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

groupofplanners

personholdingglasseschatting

Investor Profile Questionnaire "Online" (fillable)

Assess Risk Tolerance and Investment Objectives

Investor Profile Questionnaire "Manual" (non-fillable)

Assess Risk Tolerance and Investment Objectives

presentingideastoclient