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