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Putting it in writing?

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Jul 11, 2009 11:29 pm

I’d love to hear from the EDJ guys on this … I believe our FS team would have a hairy fit at the thought of “putting that in writing”.

Under no circumstances am I allowed (or so I have been given to understand) to put a pen to paper and turn that paper over to the client or prospect. In point of fact, I’ve been told to make sure my client has letterhead paper and pen to take notes.

DNC noted and retained for my purposes. HenryHill? Spider? B24?

Jul 13, 2009 6:10 pm

You’re right.  But Compliance is basically protecting you in this case (and them by extension).  I would venture to guess that most brokerage firms have policies about “putting things in writing” when it comes to investments.  Whether the FA’s know about the policy or not is another story.

  I can tell you the last thing I want is something I wrote down about an appointment coming back to haunt me.  Things can be mis-written, mis-interpreted, "mis-remembered", etc.  And sometimes things can be taken out of context if the "entire story" is not written down.   I don't really fault big brother for not wanting us to write stuff down for clients.  They can write whatever they want.  I am not a walking compliance manual, so I would rather have simple rules like "don't write sh!t down" instead of "you can write this, you can't write that, ....."
Jul 13, 2009 6:32 pm

Sort of surprised we’re alone on this, that no other FA mentioned it. Like you, I value that sort of direction from the company.