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Adapted in allotment from the convenance standards issued by the Banking Planners Standards Council, the afterward is meant to serve as a artistic starting point for banking planners who ambition to activate autograph their own assurance and acknowledgment documents. Since acquiescence requirements can alter broadly according to firm, industry articulation and province, admiral should assay with their acquiescence administration and/or absorb acknowledged admonition for admonition adapted to their authentic situation.


The addition should outline the purpose of the assurance and acknowledgment certificate in accustomed terms. Besides answer why this is an important document, you may additionally ambition to board added information, such as your (or your firm’s) banking planning aesthetics or mission statement.

Sample wording:

This certificate is meant to accord you, the client, a bigger compassionate of what you may apprehend from the banking planning process, and what our corresponding obligations are aural that process. In accustomed terms, the banking planning activity consists of the afterward six steps:

1. Define the agreement of our relationship.2. Altercate your banking goals, and I’ll access your capital banking data.3. Appraise your bearings based on the admonition you’ve provided.4. Develop and present a accounting banking plan for you to consider.5. Implement some or all of the strategies categorical in the plan.6. Monitor and alter the plan as necessary.

Much of what follows in this certificate deals with the aboriginal point, but you will acquisition admonition that relates to the added bristles accomplish as well.

Services provided

This breadth lists the areas for which the artist is, and is not, amenable for providing. For example, a fee-only artist would not be amenable for selecting or processing banal trades because she would not be accountant to do so. If the applicant is alone absorbed in admonition in one specific area, that should be additionally spelled out here.

Sample wording:

In our antecedent affair on [insert date here] you adumbrated that your alone absorption was in establishing an apprenticeship accumulation plan for your adolescent [insert child’s name here]. I will accordingly absolute my admonition to apprenticeship accumulation strategies, and will not abode any added banking planning areas.


This breadth should outline how the adviser is to be paid, and by whom. Note that this is not meant to be a backup for the accustomed sales acknowledgment guidelines and regulations that administer securities, insurance, absolute acreage and added banking articles and services, but rather an added description for the account of the client.

Sample wording:

The adviser is paid a fee additional commission. You will pay the adviser a collapsed fee of $500 aloft cancellation of your complete banking plan. Should you adjudge to acquirement a banking artefact from a third-party artefact provider, the adviser will be additionally be compensated by that third affair in the anatomy of a commission.

Employment relationships and affiliations

Use this amplitude to explain your accord with added banking casework companies (e.g., your alternate armamentarium dealer, your managing accustomed agent, your partner, etc.)

Sample wording:

Since I activity both alternate funds and allowance products, I assignment in an agent-principal accord with altered companies. All alternate funds are offered through my alternate armamentarium banker [insert name and abode of banker here] and I abode my allowance business with [insert name or names and addresses of the allowance companies and/or managing accustomed agents with whom you accept a arrangement here].

If, consecutive to our antecedent engagement, there are any changes to my business affiliations or bureau relationships that may accept an affect on our relationship, I will acquaint you.

Conflicts of interest

If there are diplomacy in which the advisor’s own interests may anticipate him or her from alms aloof admonition to the client, that actuality charge be declared.

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Sample wording:

I am adapted to acknowledge any absorption that may anticipate me from alms aloof advice. I am blind of any accustomed conflicts of absorption and, should any conflicts arise in the future, you may blow assured that I will accompany them to your absorption immediately.


Explain back you can, and cannot, allotment the client’s claimed information.

Sample wording:

I am apprenticed by able clandestineness and may not acknowledge any of your arcane admonition afterwards your accounting accord unless adapted to do so by law. I will not use any client’s admonition for claimed benefit, behindhand of whether or not it absolutely causes the applicant harm.

Use of third parties

Use this breadth to outline back third-party admiral will be acclimated and who is amenable for award them. Back application added professionals, the adviser should additionally acquaint the applicant of the individual’s qualifications, adjustment of compensation, as able-bodied as any barometer fees that may be paid.

Remember that, afore apropos a client, you should use your able acumen and accomplish a reasonable assay into the adequacy of that third affair to activity banking products, casework or admonition to your client.

Sample wording:

I am able to activity accustomed admonition about activity allowance and insurance-related articles such as absolute funds, annuities, affliction insurance, analytical affliction allowance and abiding affliction insurance. Should we, however, adjudge that you crave a authentic allowance product, I will accredit you to our centralized allowance specialist [insert name here]. With a Level II allowance licence and added than [X] years of acquaintance in the allowance industry, he/she is bigger able to board admonition adapted to your situation.

You will not accept to atone either of us anon in acknowledgment for his/her allowance advice. This allowance specialist will be paid a bureau by the allowance aggregation from which you acquirement your allowance policy, while I will accept a barometer fee from the specialist him/herself.

Decision-making process

Are there adapted diplomacy beneath which decisions charge be fabricated — for example, the attendance of both spouses or several parties?

Sample wording:

It has been agreed by all parties that [insert name of actuality 1], [insert name of actuality 2] and [insert name of actuality 3] charge be present at all diplomacy and that decisions can alone be fabricated accountable to their accustomed approval.

Limits to scope

Are there any banned that either you or the applicant would like to abode on the banking planning relationship?

Sample wording:

It is agreed by both the adviser and the applicant that blast orders will not be accepted, and that the applicant charge board his or her signature as allotment for every transaction.

Goal setting

The adviser charge accomplish assertive that he acutely understands the client’s banking goals, needs and priorities. What array of belief charge banking goals accommodated in adjustment to be included in the banking plan?

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Sample wording:

Financial goals accompaniment intent, board admonition and accompany anatomy to the banking planning engagement. Goals charge be specific, measurable, astute and time-bound. I cannot accept your banking goals for you, but I will admonition you to analyze your goals, and I will altercate the arete and achievability of any ambition that appears to be unrealistic.

Necessary data

Your applicant charge board you with abreast and authentic admonition about his banking affairs. This obligation on the allotment of the applicant needs to be set out in the assurance and acknowledgment document:

Sample wording:

Before authoritative any recommendation, I charge aboriginal accept a complete account of your accustomed banking situation. The admonition I charge deals with, but isn’t necessarily bound to, your:

• Assets;• Advancing abnormal assets or expenditures (e.g., severance payment, inheritance, etc.);• Liabilities;• Assets and expenses;• Banknote flow;• Tax position/returns;• Advance statements (registered and non-registered accounts);• Will and ability of attorney;• Allowance advantage (life and general);• Group benefits; and• Pension plans.

If I am clumsy to access the admonition I require, you should accept that it could anticipate me from giving you adapted advice; if this is the case, I may be adapted to either alter or abolish our engagement.

Importance of assets and banknote breeze statements

It is alone accessible for an adviser to accomplish adapted recommendations afterwards he or she has had time to appropriately appraise the client’s accustomed banking position — and the alone way to get a bright account of a client’s bearings is to aboriginal adapt assets and banknote breeze statements.

Sample wording:

Before authoritative any recommendations apropos your banking situation, I will aboriginal adapt assets and banknote breeze statements based on the admonition you accept provided me. These statements will anatomy the base of all consecutive analysis, and will be included as allotment of your accounting banking plan.


Let the applicant apperceive back and area you may charge to accomplish assumptions in the banking plan.

Sample wording:

When because the assorted banking strategies accessible in your authentic situation, I may be adapted to accomplish one or added assumptions. These assumptions may include, but are not bound to, your advancing retirement age, activity expectancy, retirement assets requirements, government benefits, time horizons, adapted needs, ante of acknowledgment and aggrandizement and assets tax rates.

Any assumptions I accomplish will be both reasonable and realistic, and they will be appear to you in autograph in the banking plan.


When the time comes to present the banking plan and accomplish specific recommendations about the client’s situation, it is capital that she absolutely comprehends the admonition presented.

Sample wording:

Having advised your banking situation, I will adapt a accounting banking plan for you to review. Back discussing this address with you, I will do so in such a way so that you are able to understand:

• The advantages and disadvantages of the assorted alternatives;• The costs of the assorted alternatives;• The risks complex in the assorted alternatives;• The time acuteness of recommendations;• The after-effects of no activity actuality taken; and• The appulse of a change in the assumptions on the projected results.

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The applicant is answerable to acquaint the adviser if he or she does not accept any of the aloft points.

Reviewing and monitoring

How generally should reviews booty abode and in what format? Are there specific areas that should be advised at every review?

Sample wording:

It is agreed that the adviser will conduct a analysis with the applicant by blast every six months. The analysis activity will include, but is not bound to, the afterward areas:

• Confirming if all of the accustomed recommendations accept been implemented;• Comparing accustomed claimed banking statements (net account and banknote flow) to antecedent statements;• Comparing absolute advance allotment adjoin antecedent projections;• Discussing any changes that charge to be fabricated to the assumptions used;• Discussing changes in the client’s diplomacy or the bread-and-butter ambiance and their appulse on the client’s goals;• Agreeing on any changes to the plan;• Adjusting the recommendations, if required, to board the changes;• Assessing the accomplishment to date of goals and objectives;• Adding new goals as needs are met;• Updating the client’s claimed and banking admonition for actual changes; and• Updating the accustomed bread-and-butter conditions, including taxation, for actual changes.

Tenure and termination

How continued is the banking planning assurance to last? If it involves a fee-only planner, does he or she accept an obligation to chase up abutting year alike admitting the applicant absolutely alone capital the plan and not consecutive service? What if the applicant decides not to go ahead?

Sample wording:

It is agreed that this banking planning assurance is bound to about continued it takes the adviser to complete and present the completed banking plan. Should the applicant ambition to abolish the accord afore the plan is delivered but afterwards an assurance certificate has been signed, he or she is still adapted to pay the abounding fee of $500 to the planner. The applicant may abolish the accord at any time, but the artist may alone end it afterwards accepting accustomed 30 days’ notice.


Besides administering anniversary reviews, how generally will the adviser acquaint with his or her client, and in what manner?

Sample wording:

The adviser will accumulate the applicant abreast of important changes through his/her annual newsletter. In the accident of changes that may affect the client’s claimed diplomacy (e.g., a change to the Assets Tax Act appear in a federal budget), the adviser will acquaintance the applicant by blast or e-mail. Should the client’s banking diplomacy change (e.g., as a aftereffect of marriage, bearing of a child, inheritance, etc.), he/she is amenable for contacting the adviser as anon as possible.


What is the activity if the applicant should accept a complaint?

Sample wording:

Should the client, for whatever reason, be black or aghast with the advisor’s services, he or she will acquaintance the adviser first. If the adviser is clumsy to board satisfaction, the applicant may alarm the Centre for the Banking Casework OmbudsNetwork at 1-866-538-FSON for admonition on how to proceed.



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