New Sample Form – Bank Referral Arrangement Disclosure Statement to Client

January 12, 2018

RIA Compliance Consultants has released a new sample form, “Bank Referral Arrangement Disclosure Statement to Client.”

This is a sample investment adviser form which is intended for use when an investment adviser firm pays a referral fee to a bank for the referral of a bank customer to the investment adviser firm. Please note that it is not a substitute for the required written referral agreement between the investment adviser and the bank.

This form can be accessed by clients in our Platinum Package through their online subscription account. If you are not in this package and would like to purchase this form, click here.

Posted by Grant Parr
Labels: Sample Forms