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When Implementing Agreed-Upon Recommendations in the SOA, the Financial Planner

Question 14

Multiple Choice

When implementing agreed-upon recommendations in the SOA, the financial planner:


A) must obtain the signature and consent of the client prior to implementation.
B) must ensure the client fully understands the contents of the SOA and that the implementation of the recommendations are in the clients and planners shared interests.
C) both a and b.
D) is unlikely at this point to indicate clearly the responsibilities of each party or a time line for implementation.

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