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This form is designed to confirm compliance with the SEC Rule 206(4) – 1), Regulation S-P, and general due-diligence, cybersecurity, and risk management principles.
Last Updated 8/22/2025.
Included in Gold, Platinum, and Titanium packages. Available for a la carte purchased through the online store at: https://www.ria-compliance-consultants.com/product/due-diligence-annual-promoter-due-diligence-questionnaire-and-attestation/
Estate Planning – Due Diligence of Digital Platform
October 08, 2024
This Estate Planning – Due Diligence of Digital Platform is a sample investment adviser form which is a due diligence checklist for an investment adviser to investigate digital estate planning platforms or software. .
Included with Gold, Platinum and Titanium Packages. Available for a la carte purchase for $200 through our online store at: https://www.ria-compliance-consultants.com/product/digital-estate-planning-investment-adviser-due-diligence/
Due Diligence – Document Request List When IAR Affiliating with BD
September 14, 2023
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, Gold Package (Renewal) – Annual Compliance Program – Annual Payments or Due Diligence – Document Request List When IAR Affiliating with Broker-Dealer.
Due Diligence – Vendor Due Diligence Checklist
April 22, 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.
Due Diligence – Alternative Investment – Review Form
August 16, 2019
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Due Diligence – Client Acknowledgement – No Due Diligence of Service Provider Selected by Client
August 16, 2019
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.
Due Diligence (Ongoing) Questionnaire for Signal/Model Provider’s Compliance Program
August 16, 2019
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.
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.
Due Diligence (Ongoing) Questionnaire for Third-Party Money Manager Compliance Program
August 16, 2019
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.
