Additions to RIA Compliance Consultants’ Sample Forms Library

January 17, 2017

RIA Compliance Consultants added four new Sample Forms to our Sample Forms Library.  The new Sample Forms are:

·       Investment Adviser Representative Annual Questionnaire

·       Solicitor Annual Questionnaire – Affiliated and Licensed

·       Solicitor Annual Questionnaire – Affiliated and Unlicensed

·       Solicitor Annual Questionnaire – Unaffiliated and Unlicensed

These Sample Forms are available to clients in Gold, and Platinum Packages through their online subscription accounts. If you are not a Gold or Platinum Package client you can purchase these Sample Forms through our online store for $200 per form.

Our Investment Adviser Representative Annual Questionnaire is designed to help your investment adviser firm keep track of its investment adviser representatives by documenting any changes to their business in the last 12 months. 

Our Solicitor Annual Questionnaires are designed to help your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months. The majority of state securities regulators define the solicitation or referral of investment advisory clients as an investment advisory activity requiring the registration of the solicitor as an investment adviser or investment adviser representative. An investment adviser firm considering a solicitor arrangement should verify whether the intended solicitor’s activity is included under the state securities regulator’s definition of an investment adviser representative.

RIA Compliance Consultants also updated our Cybersecurity Best Practices Checklist. This updated checklist is available in your online subscription account if you had previously purchased it. Click here to purchase our Cybersecurity Best Practices Checklist.

 

Posted by Bryan Hill
Labels: Compliance Forms, Compliance Tool, Compliance Training, Solicitors, Uncategorized