Templates › Forms › SEO page

Run: Investment Recommendation Rationale and Best Interest Memo

This memo records why a specific investment recommendation was made, what client facts were relied on, and which alternatives were considered. Use it to crea...

Fill this out, get a PDF emailed to you. No account required. Want to run it with your team and track results? Sign up free →

Submission Notice and Consent

Purpose of this memo

Client consent to record and retain recommendation details (required)

Yes No N/A

PII minimization acknowledgement (required)

Yes No N/A

Anonymous submission requested

Use only if your workflow allows anonymous internal review. Do not use for client-identifying records.

Yes No N/A

Client and Account Context

Client name (required)

Client or household ID

Use an internal identifier if available. Avoid collecting SSNs or other unnecessary identifiers.

Account type (required)

If other, specify account type

Relationship type (required)

Client Objectives, Constraints, and Risk Profile

Primary investment objectives (required)

If other, describe the objective

Risk tolerance (required)

Time horizon (years) (required)

Liquidity needs (required)

Special constraints or restrictions

If other, describe the constraint

Information Relied Upon

Information relied upon (required)

If other, specify the information source

Key facts summary (required)

Summarize the client facts that materially influenced the recommendation. Avoid unnecessary personal data.

Material information not available

If any material facts were unavailable, explain what was missing and whether the recommendation was still appropriate.

Recommendation and Alternatives Considered

Recommended product or strategy type (required)

If other, specify the recommended strategy

Recommendation summary (required)

State the recommendation clearly and concisely.

Alternatives considered (required)

Alternative name (required)

Why this alternative was not selected (required)

Best Interest Rationale

Best-interest basis (required)

If other, describe the basis

Rationale narrative (required)

Explain why the recommendation is suitable or in the client's best interest, including trade-offs and why the selected option is preferable.

Known trade-offs or risks

Document any material risks, limitations, or trade-offs disclosed to the client.

Review, Attestation, and Audit Trail

Supervisor review required

Yes No N/A

Reviewer name

Review date

Attestation (required)

Yes No N/A

Supporting documents

Upload only documents necessary to support the recommendation.

Get your results

Enter your email — we'll send you a PDF of your filled-out template, plus the occasional MangoScoop newsletter (templates, workflow tips, product updates). Unsubscribe anytime — link is in every email.

Email (required)

Your name (optional)

Generated with MangoApps Templates — browse 250+ free