Updated Sample Form – Suitability – Retirement Plan Rollover – Client Acknowledgement

May 05, 2021


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RIA Compliance Consultants recently updated its sample form, Suitability – Retirement Plan Rollover – Client Acknowledgement.

This is a sample investment adviser form which is intended as a disclosure and acknowledgement of key facts when an investment adviser (“RIA”) recommends a client rollover proceeds from a retirement plan to an individual retirement account (“IRA”).

This sample form is included with Bronze, Silver, Gold and Platinum Annual Compliance Program Package subscriptions. It can be purchased a la carte through the following link: https://www.ria-compliance-consultants.com/product/suitability-retirement-plan-rollover-client-acknowledgement/

Posted by Grant Parr
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