Evaluate a new broker-dealer relationship, or review an existing one. Organize and simplify your analysis and decision-making.
An essential part of managing your financial institution's portfolio is establishing and maintaining productive relationships with your broker-dealers. This involves evaluating new brokers as well as performing annual reviews of existing ones.
The broker-dealer due diligence checklist will help you assemble and organize the material you need to simplify your evaluation and ensure you have a well-documented review and decision-making process.