Trading – Pontera – Best Practices Checklist

February 23, 2024

This Trading – Pontera – Best Practices Checklist is a sample investment adviser form which is a best practices checklist for an investment adviser utilizing Pontera to manage and trade retirement plan participant accounts and health savings accounts.

This form is available to Platinum & Titanium Annual Compliance Program packages. For clients not in one of those packages, it can be purchased a la carte for $175 through our online store at https://www.ria-compliance-consultants.com/product/pontera-best-practices-checklist/

Rep – Recruiting – Letter of Intent Re Affiliation

November 21, 2023

To access this content, you must purchase 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.

Privacy – Privacy Notice to Share NPPI with Non-Affiliates

November 17, 2023

Privacy – Client Consent to Share NPPI with Non-Affiliates

November 17, 2023

This Privacy – Client Consent to Share NPPI with Non-Affiliates is a sample form for documenting a client’s consent for an investment adviser firm to share the client’s non-public, personal information (“NPPI”) with non-affiliates.

Certain states, such as California, require an investment adviser firm to obtain a client consent in a separate writing with specific language/provisions prior to sharing NPPI with non-affiliates. An investment adviser firm should check the privacy and data protection laws and regulations of each client’s state and review any specific requirements related to the client’s opt-in authorization. For clients located in states requiring written consent to NPPI with non-affiliates, an investment adviser firm must update its privacy policy in addition to obtaining the client consent.

Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages). Available for a la carte purchase at https://www.ria-compliance-consultants.com/product/investment-adviser-client-consent-share-nppi/

ESG Investing – SEC Exam Request List

November 17, 2023

This ESG Investing – SEC Exam Request List are examples of environmental, social and governance (“ESG”) related items from investment adviser examinations by the U.S. Securities and Exchange Commission (“SEC”) in 2023.

Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages). Available for a la carte purchase through our online store at

Trading – Checklist for Detecting Cherry Picking

October 04, 2023

This is a sample investment adviser form which is a checklist of best practices to asssit an investment adviser firm in detecting cherry picking of block traddes and IPO allocations.

Available to Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium Packages) through our Knowledge Base. Available for a la carte purchase at: https://www.ria-compliance-consultants.com/product/trading-checklist-for-detecting-cherry-picking/

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.

Advertising – Endorser (Affiliated) – Disclosure Statement

July 27, 2023

This Advertising – Endorser (Affiliated) – Disclosure Statement is a sample investment adviser form which is intended for an affiliated endorser or solicitor of an investment adviser for documenting the required disclosures under SEC Rule 206(4)-1.

This endorser disclosure statement explains that that the endorser is employed by an affiliate of the investment adviser firm, describes the affiliated endorser’s conflict of interest and notes the limitations of the endorser’s activities.

Available to Platinum & Titanium clients. Available to purchase a la carte in our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-endorser-disclosure-statement/

ESG Investing – Client Consent of Adviser’s Use of ESG Objectives

July 12, 2023

This ESG Investing – Client Consent of Adviser’s Use of ESG Objectives is a sample investment adviser form which is used to document a client’s written consent to an investment adviser’s use of ESG and other non-financial objectives when providing investment advice or recommendations or making discretionary investment decisions.

Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Can be purchased a la carte through our online store: https://www.ria-compliance-consultants.com/product/investment-adviser-client-consent-esg/

Custody – Best Practices for Supervising Bill Pay Services

July 05, 2023

Custody – Best Practices for Supervising Bill Pay Services is a sample checklist which provides an investment adviser firm with some best practices for supervising and/or mitigating the risks associated with providing bill pay services to clients.

Included with Platinum & Titanium Packages. Available to all others a la carte through our online store.