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Rep Term – Setting Up New RIA Before Termination


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Rep Term - Setting Up New RIA Before Termination

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Rep Term – Setting Up New RIA Before Termination

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Rep Term – Setting Up New RIA Before Termination is a sample letter from the chief compliance officer ("CCO") of a current investment adviser firm to a departing investment adviser representative ("IAR") who is being denied a dual IAR licensing request but permitted to set up a new entity and file an application to register an investment adviser while the departing investment adviser representative is still IAR licensed through the current investment adviser firm. Available to Titanium package clients. Available for a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/cco-letter-iar-new-ria-firm/.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.