finra

Guide

Guide for brokers and fiduciaries

Practical tips on client documents, contracts, deadlines and secure collaboration — concise and actionable.

Language: DE EN FR IT
Documents

Collecting Client Documents Securely – Instead of Email, WhatsApp and Paper

How to collect client documents securely, in an organised and DSG-compliant way – without email chaos, WhatsApp or paper – with a checklist, live status and access log in the client portal.

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Contracts

Managing Policies and Contracts Without Excel Chaos

Why Excel spreadsheets for policies and contracts eventually reach their limits — and how to manage your contract portfolio per client cleanly, with version history, and traceably.

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Deadlines

Never Miss a Cancellation Deadline or Renewal Date Again

Cancellation deadlines, renewal dates and file deadlines are easy to lose track of in daily office life when they're scattered across multiple lists and people's memories. Here's how a deadline radar brings every date together in one place – sorted by urgency.

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Taxes

Request Tax Documents From Clients Digitally Instead of Chasing Them by Phone

Every year it's the same story: you're calling clients to chase up payslips and receipts. With a requirements checklist per dossier and live status tracking, you always know at a glance who has submitted their documents – and who hasn't.

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Privacy

revDSG: What Brokers and Trustees Need to Know About Client Data

Health information, debt collection records, asset holdings: brokerage and trust firms handle sensitive client data every day. An overview of what the revDSG actually requires — and how to put these due-diligence duties into practice.

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Data Security

Exchanging Client Data Securely: Email Attachment or Client Portal?

Email attachments are risky for sensitive client data. An overview of what email encryption can achieve, and why a client portal with login and access logging is the more robust solution.

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CRM & Contacts

CRM for Brokers: Managing Prospects and Clients Digitally

Spreadsheets and sticky notes quickly stop being enough for client management in a broker's daily business. How a CRM with contacts, notes, tasks and tags brings order – and how a prospect becomes a client in the client portal.

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Client Processes

Handling Clients' Insurance Switches Digitally and Cleanly

Collect the policy, power of attorney and ID copy cleanly, submit the cancellation on time, and keep track of everything: here's how to manage an insurance switch as a structured dossier instead of a scattered email chain.

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Pension

Collecting Pension Documents Digitally and Securely: Pillar 3a, Pension Fund, Vested Benefits Account

Pillar 3a statements, pension fund certificates, vested benefits accounts and advance care mandates end up scattered across emails and paper piles for many brokers. A dossier per client with a requirements checklist, live status and access log brings order to this.

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Digitalization

The Paperless Fiduciary Office: A Step-by-Step Path to the Digital Client File

Switching to a paperless fiduciary office doesn't happen overnight — it happens in clear stages: from the digital client file, through the gradual migration of your archive, to a well thought-out division of roles within the team.

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