Complimentary Code of Ethics Acknowledgement Form

April 11, 2012

Receive a complimentary sample Code of Ethics Acknowledgement Form by clicking the “Like” button on our Facebook page.

When signed by your investment adviser’s supervised persons, our sample Code of Ethics Acknowledgement Form can serve as the written acknowledgement your investment adviser is required to obtain from all supervised persons under U.S. Securities and Exchange Act Rule 204A-1 of the Investment Advisers Act of 1940.

If you’d like access to our periodic release of other complimentary forms and webinar recordings, please click here to “Like” the Facebook of RIA Compliance Consultants.

Posted by Bryan Hill
Labels: Code of Ethics, Social Media