Applies To:
- Portfolio Managers
The Meeting Details documents any discussions or decisions from client meetings that are relevant to the account setup or management process.
Filling Out Meeting Details Information
Provide the below detail on the meeting that took place with the client, and provide details on any additional topics that were discussed during the meeting that are not captured on the KYC.
Enter the details into the provided fields:
- Meeting Type: Select whether the meeting took place over the phone or In person.
- Was the Wealth Planner who is not acting Portfolio Manager or Associate Portfolio Manager present during the meeting? Select yes or no.
- Was there anyone else present during the meeting besides yourself and the client? Select yes or no.
- How will the Onboarding Documentation be provide to the client? Select Electronically or In person During Meeting.
- Please select the disclosures which were reviewed with and will be provided to the client following the meeting. Select all options that apply:
- COI (Conflict of Interest)
- RDI (Relationship Discourse Information)
- PMA (Portfolio Management Agreement)
- Optimize Fund Discourse
- Wealth Planner Acknowledgement
- Please select the additional Family Office Services that you discussed with the client, which will be available to them as clients of Optimize. Once they become a client, they must be aware of all of them. Please select all options that apply:
- Financial Planning
- Will Preparation
- Tax Preparation
- Insurance
- Mortgage Assistance
- Were there any additional questions which were asked by the client during the meeting? Select yes or no. If you select yes, please provide the details using the space provided.
- Please select one of the following as it relates to the client discussion surrounding the Disclosure of Beneficial Ownership Information:
- The client WANTS to receive ALL security holder materials sent to beneficial owners of securities.
- The client DECLINES to receive ALL security holder materials sent to beneficial owners of securities and understands that a reporting issuer or other person or company is still entitled to send these materials at their own expense.
- The client WANTS to receive ONLY proxy-related materials that are sent in connection with a special meeting.
- How long has the IA known the client? Select one of the drop downs for how many years.
- Is the IA registered in the province in which the client resides? Select yes or no.
- Please confirm the below:
- I confirm that the client will be provided the Wealth Planner Acknowledgement and any questions related to the Acknowledgement were addressed.
- I confirm that I have reviewed the Private Client Program with the Client and discussed the risks of investing.
- I confirm that I explained the risks of investing to the client including the fact that markets do fluctuate, there will always be a risk of loss within our model portfolios, and that past performance is not guarantee of future performance.
- I confirm that I have asked the client to specify whether or not they object to the Disclosure Ownership Information.
- I confirm that I have asked the client to specify their preferences as it relates to Receiving Security Holder Materials.
Saving the Panel
After completing all required fields:
- Click Save to lock in the provided details.
- The panel status will update from Incomplete (yellow) to Complete (green)upon successful saving.
Example of Completed Meeting Details Panel
