RIA Compliance Consultants recently created a new Sample Form, Client as Investor/Owner in RIA – Checklist of Compliance Issues.
This is a sample investment adviser form which is a checklist of compliance issues and best practices for an investment adviser with a client who is investing in the ownership of the investment adviser firm itself.
This Sample Form is included with Gold & Platinum Annual Compliance Program Package subscriptions. It can be purchased a la carte through the following link https://www.ria-compliance-consultants.com/product/client-as-investor-owner-in-ria-checklist-of-compliance-issues/.
Posted by RCC
Tagged: Code of Ethics, Due Diligence, Promissory Note