FAIS Documents for Broker Use

The following documents are an indication of documents required by FAIS and can be downloaded and amended so as to suite your particular brokerage. These are not necessarily all the documents that FAIS require and it remains the responsibility of the individual broker to ensure that he/she complies with FAIS regulation.

Disclosure Letter (This is an example only and needs to be personalized by the individual broker)

Risk Analyzer

Life and Investment Client Advice Record

Source of Funds