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Colorado Securities Division – Sample Guidance for Ongoing Financial Planning – November 22, 2022

November 18, 2022

This is a sample document developed by the Colorado Securities Division that provides guidance regarding common compliance issues associated with providing ongoing financial planning utilizing a subscription fee model. Please understand that portions of this sample document may have been redacted or altered for confidentiality purposes and/or abbreviated/revised for ease of use and efficiency. This sample form is being made available for general reference and education purposes. RIA Compliance Consultants does not know whether your securities regulator will utilizr a similar document or make such a finding in an examination of your investment adviser firm. RIA Compliance Consultants is offering this sample form “as-is” with no warranty.

This sample document is available to Bronze, Silver, Gold, Platinum and Titanium Annual Compliance Program Package clients. If you are in an Annual Compliance Program Package and do not have access, please contact tbolden@ria-compliance-consultants.com for assistance.

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Advertising – Testimonial/Endorsement (No Compensation) Authorization

November 16, 2022

This Advertising – Testimonial/Endorsement (No Compensation) Authorization is a sample investment adviser form which is intended as an example of an authorization from a client or third-party to utilize a testimonial or endorsement without any compensation.

Under this authorization, the client or third-party confirms the accuracy of the testimonial or endorsement, authorizes the investment adviser to use of the testimonial/endorsement and requires the client or third-party to notify the investment adviser if the testimonial/endorsement becomes inaccurate.

Included with Platinum & Titanium Packages. Initially posted in November 2022

Don’t have access to this form? Buy it Here.

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Advertising – Endorser (Unaffiliated) – Disclosure Statement

November 16, 2022

This Advertising – Endorser (Unaffiliated) – Disclosure Statement is a sample investment adviser form which is intended as an example of a disclosure statement for an endorsement by an unaffiliated party of an investment adviser registered with the SEC.  This sample disclosure statement is intended to document an unaffiliated endorser’s required disclosures to a prospective client in accordance with the SEC’s Marketing Rule.  This sample endorser disclosure statement includes an acknowledgement of the endorser’s status, a description of the compensation and examples of an endorser’s conflicts of interest.

 

Included with Platinum & Titanium Packages. Don’t have access to this sample form? Buy it Here. Initially posted in November 2022.

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WSP/CoE Section – Advertising (Initially posted 10/20/2022)

October 20, 2022

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WSP/CoE Section Update – IAR CE (Last Updated in May 2022)

May 19, 2022

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Invoice – Retainer Request

April 12, 2022

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Cybersecurity – Best Practices Checklist

February 16, 2022

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Wrap v. Non-Wrap Account (Last Updated in March 2018)

January 27, 2022

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Text Messaging Prohibited (Last updated in June 2017)

January 27, 2022

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Text Messaging Permitted (Last Updated in July 2017)

January 27, 2022

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