Finance · Legal Documents
Disclosure forms
Standardized forms a financial firm gives clients to spell out fees, risks, conflicts of interest, and other legally required facts.
What it usually contains
- fee and commission schedules
- risk warnings for specific products or accounts
- conflict of interest and compensation statements
- firm and adviser background details
- client acknowledgment and signature lines
What the assistant uses it for
Use to answer what a firm must tell clients before opening an account or selling a product, and how fees, risks, and conflicts are worded. Also useful for checking which disclosures require a signed acknowledgment and when they must be delivered or updated.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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