Successful Initial Interviews - Meeting Structure Template

Sep 12, 2026

Upload by Aladdin

Successful initial interviews meeting structure template for professional investors, designed to help prepare for a first meeting with a new client and to set expectations. Guides the agenda through introduction, background and experience, open-ended questions, client goals and objectives, current financial situation, risk tolerance discussion, financial plan development, implementation steps, and follow-up scheduling. Includes notes prompts for gathering information and includes required educational and risk disclosures.

LanguageEnglish

CategoryPresentations

FormatPDF

Pages2

Reading Time1 min

AccessFree to download

Introduction

Goals and objectives

Current financial situation

Risk tolerance

Financial plan

Implementation

Follow-up

C LIE NT RELATIONSHIPS 365 Successful initial interviews Meeting structure template A first meeting with a new client can set the scene for your future client relationship, so ensuring you feel confident and prepared can certainly be beneficial. We have created a meeting structure template which you can use to prepare for your client meetings or to share with your clients before the meeting so that there is an awareness of what they can expect. You can use this as an aide-memoire during the meeting to ensure all aspects of information required are covered, or as a step-by-step document to work through. You could also ask your client to contribute their own points to the meeting agenda, so they know their interests and concerns are paramount. Whilst structure is sensible, be open to flexibility too, as it is possible your client may steer the conversation in an unexpected direction. Introduction An opportunity for you to introduce yourself and start to establish a rapport. y Explain your background and experience y Ask open-ended questions Notes | Goals and objectives | | | --- | --- | | Understand your client’s financial goals and | Notes | | objectives – both short-term and long-term. | | | y Gain a sense of their priorities – this | | | may influence the types of products and | | | strategies which may be suitable for them | | | Current financial situation | | | Establish your client’s: | Notes | | y Income y Expenses | | | y Assets y Debt | | | y Investments | | This document is directed at professional investors and should not be distributed to or relied upon by retail investors. Risk tolerance A frank discussion about your client’s risk tolerance will help you recommend investments and financial products that align with this. You could use Vanguard’s attitude to Risk tool, available here. Financial plan Based on the information gathered in the previous steps, you can then develop a financial plan tailored to the client’s needs and goals. Implementation Once you have developed your client’s financial plan, you can discuss the steps by which this will be implemented. This may include opening new accounts, transferring assets or making changes to existing investments. Follow-up Notes Notes Notes Schedule a follow-up meeting to review progress made towards your client’s financial goals. You can also make any necessary adjustments to their plan at this next meeting. Notes Investment risk information The value of investments, and the income from them, may fall or rise and investors may get back less than they invested. Important information This document is directed at professional investors and should not be distributed to or relied upon by retail investors. The information contained in this document is not to be regarded as an offer to buy or sell or the solicitation of any offer to buy or sell securities in any jurisdiction where such an offer or solicitation is against the law, or to anyone to whom it is unlawful to make such an offer or solicitation, or if the person making the offer or solicitation is not qualified to do so. The information in this document does not constitute legal, tax, or investment advice. You must not, therefore, rely on the content of this document when making any investment decisions. The information contained in this document is for educational purposes only and is not a recommendation or solicitation to buy or sell investments. Issued in EEA by Vanguard Group (Ireland) Limited which is regulated in Ireland by the Central Bank of Ireland. Issued in Switzerland by Vanguard Investments Switzerland GmbH. Issued by Vanguard Asset Management, Limited which is authorised and regulated in the UK by the Financial Conduct Authority. © 2024 Vanguard Group (Ireland) Limited. All rights reserved. © 2024 Vanguard Investments Switzerland GmbH. All rights reserved. © 2024 Vanguard Asset Management, Limited. All rights rese

FAQs

What is the purpose of the successful initial interviews meeting structure template?

It helps you prepare for a first meeting with a new client, cover the required information, and set expectations for what the client can anticipate.

Which topics should be covered during the meeting?

The template structures discussion around goals and objectives, current financial situation, client income/expenses, assets/debt, investments, and risk tolerance, followed by financial plan, implementation, and follow-up.

What risk and disclosure information does the document include?

It states that the value and income of investments may rise or fall and that investors may get back less than they invested, along with legal, educational, and professional-investor limitations on reliance and distribution.

Sep 12, 2026

Upload by Aladdin