13227913
Description
Mind Map by MARTHA MADRIZ, updated more than 1 year ago
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Created by MARTHA MADRIZ
over 6 years ago
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MEETING POTENTIAL
CLIENTS
- the individual contact the firm
- following on
advertising
- Following recommendation from
friend, relative or existing client
- following on
advertising
- Following a referral from
existing client, another
professional adviser, an
associated firm
- on foot of
Referral
- in line with
- Data Protection Restrictions
- Electronic Privacy Restrictions
- Consumer Protection Code restriction
- Data Protection Restrictions
- Ring or email
- 1- IDENTIFY YOURSELF
- Your name and the Firm you represent
- Term of
Business
- First and before
providing advice or
financial services
- Legal, Trading name(s),
Address, contact details
of the firm
- Name of the Group which
firm belong
- confirmation that firm is authorised,
licensed or registered and name of
Regulatory authority that authorised it
- A statement indicating which code
of conduct firm must comply
- DESCRIPTION of the financial services
the firm provides
- If acting as Intermediary, a description of
the level of service for each product type
- SPECIFY each product and service for which it is tied,
and the name of the form to which it is tied
- General statement of The CHARGES imposed
- Summary of firm POLICY on how
- consumer data is used
- in relation to conflict of interest
- Remedies in the event of default by consumer
- Effective date of term of business document
- Effective date of term of business document
- Complaint procedures
- consumer data is used
- Summary of firm POLICY on how
- General statement of The CHARGES imposed
- SPECIFY each product and service for which it is tied,
and the name of the form to which it is tied
- If acting as Intermediary, a description of
the level of service for each product type
- DESCRIPTION of the financial services
the firm provides
- A statement indicating which code
of conduct firm must comply
- confirmation that firm is authorised,
licensed or registered and name of
Regulatory authority that authorised it
- Name of the Group which
firm belong
- Legal, Trading name(s),
Address, contact details
of the firm
- Stand alone basis
- To sign Term of
Business is not
a requirement
from Central
Bank
- Firm must
not compell
client to sign
- if customer signs term of business
- if a "Material change is done" to
Term of Business firm must
notify to EACH affected
customer as soon as possible
- if a "Material change is done" to
Term of Business firm must
notify to EACH affected
customer as soon as possible
- if customer signs term of business
- Firm must
not compell
client to sign
- First and before
providing advice or
financial services
- Term of
Business
- Your name and the Firm you represent
- 2- STATE on whose behalf you are
acting and purpose of the call
- 3- INFORM the consumer call
being recorded, if the case
- 4- DISCLOSE the source of the business lead r
referral with supporting documents
- 5- ESTABLISH if the consumer wishes to
continue, if not-END email/call inmediatelly
- 1- IDENTIFY YOURSELF
- in line with
- on foot of
Referral
- BE SURE
- obtain
personal data
fairly
- Consent provided,purpose of data, separate inform
consent for each visit. Firm to maintain record of
consents given
- Consent provided,purpose of data, separate inform
consent for each visit. Firm to maintain record of
consents given
- can you use
data for
marketing
purpose?
- will the contact
comply with
the code
- is it compliant
with electronic privacy
regulation
- obtain
personal data
fairly
- CUSTOMER DUE
DILIGENCE
- AN OBLIGATION before providing Financial Service
- AN OBLIGATION before providing Financial Service
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