Archives

Annual Review – Certification of Annual Retrospective Review of IRA Rollover

February 21, 2023

This Annual Review – Certification of Annual Retrospective Review of IRA Rollover is a sample investment adviser form which is intended to document a senior executive’s certification of annual retrospective review of IRA Rollovers in accordance with the U.S. Department of Labor’s Prohibited Transaction Exemption (“PTE”) 2020-02.

Included with Platinum & Titanium Packages. Available for a la carte purchase through our Online Store at Annual Review – Certification of Annual Retrospective Review of IRA Rollover.

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PST – Checklist for Personal Account Not Controlled by Access Person

January 10, 2023

This PST – Checklist for Access Person with No Control Over Personal Account is a sample checklist of issues an investment adviser firm faces when an access person utilizes a blind trust or third-party money manager for managing his or her personal account and is seeking an exception to the firm’s personal securities transaction policies and procedures on the basis that the access person does not have control of the personal account.

Included with Gold, Platinum & Titanium Packages. Not in a package? Learn more here, or purchase form a la carte for $200 here.

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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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Invoice – Retainer Request

April 12, 2022

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments or Gold Package (Renewal) – Annual Compliance Program – Annual Payments.

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Cybersecurity – Best Practices Checklist

February 16, 2022

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments or Gold Package (Renewal) – Annual Compliance Program – Annual Payments.

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Assignment – Name Change Only – Letter to Client

January 26, 2022

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments or Gold Package (Renewal) – Annual Compliance Program – Annual Payments.

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Investment Adviser Self-Inspection Checklist – Virginia – Registration, Form ADV Disclosures, Supervision, Required Record Keeping, Custody – 2013

January 20, 2022

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments or Gold Package (Renewal) – Annual Compliance Program – Annual Payments.

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Private Equity – Compliance Checklist for Investment Adviser When Recommending PE Investment

December 14, 2021

To access this content, you must purchase Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments or Gold Package (Renewal) – Annual Compliance Program – Annual Payments.

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Personal Securities Transactions – Checklist for Reviewing PSTs

September 28, 2021

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments or Gold Package (Renewal) – Annual Compliance Program – Annual Payments.

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