Asset Allocation Review Exception Form
This form is in place to handle exemptions from any firm-driven asset allocation review, irrelevant whether it be an adviser’s book, an acquired book, or an AR’s book. A programmatic exemptions registration, where there is an inability to map a suitability to the investment framework of Ascot Wealth Management.
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Standard transition cases do not require this form. Use this only for clients where the standard path does not apply, or where a client has objected after receiving the transition communication.