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What are suitability requirements?

The suitability rule generally requires broker-dealers to use reasonable diligence to seek to obtain and analyze the customer-specific factors listed in the rule. A broker-dealer cannot make assumptions about customer-specific factors for which the customer declines to provide information.

What is the purpose of the suitability test?

A test that is done by the investment firm where it asks the client some questions to reach an understanding of the types of investments that will be suitable for the client. Typically questions would revolve around the client`s investment objectives, financial situation, knowledge and experience.

What is a client suitability assessment?

CLIENT SUITABILITY ASSESSMENT FORM FOR INSTITUTIONS. OBJECTIVE: This Client Suitability Assessment (CSA) is being conducted to help the marketing personnel / account officer determine the client's understanding of the risks related to investing.

What is client suitability assessment form?

This Client Suitability Assessment (CSA) should be done prior to account opening. This CSA form will be used in assessing your profile based on your investment and/or risk management objectives, cash flow requirements, tolerance to risk, and financial profile.

What must suitability be based on?

Reasonable-basis suitability requires a broker to have a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors.

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