WARNING: If you clear your browser's cookies, your collections will be lost. Please
save a link and bookmark each collection
Wells Fargo Investment Institute (WFII)
Individual Market Charts For use With; Clients and Prospects
INSTRUCTIONS ON ASSEMBLING AN INDIVIDUAL MARKET CHART PRESENTATION
- The first page of the presentation must be the Market Chartbook Cover page (Market Charts: Turning Data into Knowledge) which includes the retail non-deposit investment product (RNDIP)/Not, No, May disclosure. Chartbook data is updated quarterly. Please check the effective date on the Cover page to be sure you are assembling the most recent information available. In Digital Market Charts, this is automatically added as the opening page of any collection you create.
- The final page must be the General Disclosure page which identifies Global Investment Strategy as a division of WFII and Wells Fargo Advisors as the broker-dealer. In Digital Market Charts, this is automatically added as the closing page of any collection you create.
- In between the Cover and the General Disclosures pages you may include any individual chart(s) you decide upon. If a chart contains a separate disclosure page, that page will automatically accompany the particular chart chosen. For example, if you wish to include the Fixed Income Scorecard as one of your selected charts, it will automatically be accompanied by the disclosures on the following page.
- After assembling, submit to your Qualified Supervisor for review and approval in compliance with the Communication Compliance Submission process as outlined in your LOB’s CAR Guide. Slides used without alteration and with the proper disclosures need Qualified Supervisor review. They don’t need to go through CAR.
- If printed, the chart slides must be printed one per page to ensure that disclosures on the slides are legible. These pre-approved slides may not be altered in any way or combined onto a single slide.