Client Accounts

The firm’s CCO shall review all new accounts to ensure compliance with applicable laws and firm policies.

Opening New Accounts

Prior to engaging in investment advisory services offered by Core Planning, each potential client shall receive at a minimum the following:

• Disclosure Brochure (Form ADV Part 2A and 2B)
• Privacy Policy

Prior to providing advisory services to a client, Core Planning and the client shall complete and execute a contract outlining the services to be provided, the terms of the services as well as an investment policy or other document that provides suitability information such as investment objectives, risk tolerance and financial condition of the client.

Updating and Confirming Client Account Information

The firm will periodically, but at a minimum annually, verify and update the information it receives from its clients during client meetings and reviews.

Transaction Review

The firm’s CCO shall monthly review client account activity and transactions to ensure that transactions:

• Comply with the best execution policies
• Comply with the trade allocation and block trading policies