in regards to the following being inside the accts info::
Best Interest Dates
CRS Date Sent
CRS Date Signed
I questioned our Broker Dealer if we only had to leave these forms when business was written. My reply back from the BD was :: Please see below for what is required. Please let me know if you have any additional questions.
1) The advisor is required to keep track of when they provide the form CRS to clients and prospects alike.
2) This requirement is for any registered rep product
We are only required to leave one per client no matter how many accounts we write and if we write no business then there is no acct to add but the only place to add the date for the CRS Form is inside the account info.
Is there another place this could be added?
My suggestion would be in the Contact Details by the Sevicing Advisor or Writing Advisor ... maybe?
Or utilized under Know your Client section where dates are entered for other documents.
You could utilize UDFs f\or this