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Professional & Ethics

Suitability

Also called: suitability requirement, know your client, appropriateness

Suitability requires that a recommended investment fits the client's circumstances, objectives and risk tolerance. It's a lower bar than fiduciary duty: suitable means defensible for this client, while fiduciary means best for them, and the gap is exactly where commission-driven product sales live. Meeting it requires documented knowledge of the client, which is why the investment policy statement exists.

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