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Customer Relationship Summary 1. Introduction Firs trade Securities Inc. (Firs trade or We) is registered with the Securities and Exchange Commission (SEC) as a broker dealer and is a member of the

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How to fill out customer relationship summary

01

Step 1: Start by gathering all relevant information about your customer's relationship with your company.

02

Step 2: Begin by providing a brief overview of your company's services and any fees that may be associated with them.

03

Step 3: Include a section that discloses any conflicts of interest that may exist between your company and the customer.

04

Step 4: Clearly outline the different types of accounts or services your company offers and provide details about the risks associated with each.

05

Step 5: Include information about the customer's rights and how they can exercise those rights.

06

Step 6: Provide contact information for any customer service representatives or support channels that the customer can reach out to for assistance.

07

Step 7: Conclude the customer relationship summary with any additional information that may be helpful or relevant to the customer's understanding of their relationship with your company.

Who needs customer relationship summary?

01

Any individual or entity who is a customer of a financial institution or investment firm may need a customer relationship summary.

02

Regulatory authorities and governing bodies in the financial industry may also require financial institutions to provide customer relationship summaries to their customers.

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What is customer relationship summary?

The customer relationship summary is a document that provides key information about the types of relationships a customer can have with a financial institution, including services offered, fees, and potential conflicts of interest.

Who is required to file customer relationship summary?

Broker-dealers and investment advisers are required to file the customer relationship summary as part of their regulatory obligations to provide transparency to clients.

How to fill out customer relationship summary?

To fill out a customer relationship summary, firms should follow the regulatory guidelines provided by the SEC, ensuring accurate and easy-to-understand information is presented, covering key aspects such as services, fees, and risks.

What is the purpose of customer relationship summary?

The purpose of the customer relationship summary is to provide customers with clear, relevant information about the services offered by financial firms, helping them make informed decisions about their investments.

What information must be reported on customer relationship summary?

The summary must report information about the types of services offered, associated fees, potential conflicts of interest, disciplinary history, and how customers can access additional information.

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