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Get the free RETAIL CLIENT RELATIONSHIP SUMMARY (FORM CRS)

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Trust Advisory Services, Inc. TAS (formerly Entrust Advisory Services, Inc.) and TruistInvestmentServices, Inc.TIS(formerly Entrust Investment Services, Inc.) referred to here as our, us, we or the
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How to fill out retail client relationship summary

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How to fill out retail client relationship summary

01
Start by gathering all the necessary information about the retail client, such as their personal details, financial background, and investment goals.
02
Clearly explain the purpose and scope of the retail client relationship summary to the client.
03
Provide a detailed overview of the services and products offered by the firm.
04
Clearly disclose the fees, charges, and compensation structure involved in the client relationship.
05
Explain the potential conflicts of interest that may arise during the course of the relationship and how they will be managed.
06
Outline the firm's disciplinary history, if any.
07
Ensure that all the information provided in the retail client relationship summary is accurate, complete, and easy to understand.
08
Seek the client's confirmation and signature on the document to indicate their understanding and agreement.
09
Keep the retail client relationship summary on record for future reference and compliance purposes.

Who needs retail client relationship summary?

01
Financial institutions providing services to retail clients need to have a retail client relationship summary.
02
Clients who are considering establishing a relationship with a financial institution also need the retail client relationship summary to make informed decisions.
03
Regulatory bodies and authorities may require financial institutions to provide the retail client relationship summary as part of their compliance obligations.
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The retail client relationship summary is a document that provides an overview of the services and fees associated with financial advisory or brokerage relationships to help clients make informed decisions.
Financial advisors and brokerage firms that provide services to retail clients are required to file the retail client relationship summary.
To fill out the retail client relationship summary, firms must provide information regarding their services, fees, investment alternatives, and any potential conflicts of interest, following the prescribed format and guidelines set by regulatory authorities.
The purpose of the retail client relationship summary is to enhance transparency and provide retail clients with key information about the nature of their relationship with their financial advisors or brokerage firms.
The retail client relationship summary must report information about the firm's services, fees, conflicts of interest, standard of conduct, and a summary of investment options available to clients.
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