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Make Sure You Have the Broker-Dealer Info You Need!

This free checklist will help you assemble and organize the information necessary to make an informed decision about a new or existing broker-dealer relationship.

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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.

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