The Statement on Standards in Professional Financial Planning Services (SSPFPS) Documentation Checklist helps you properly verify that you have documented the following items with a client:
Do you have an engagement letter that outlines engagement objectives, scope of services to be provided, timing of the engagement and roles and responsibilities for each person/provider?
Did you disclose any conflicts of interest?
Did you disclose how you are going to be compensated?
Did you receive needed documents from the client in the