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Suitability – Recommending Proprietary Investment or Fund Checklist

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This sample checklist is intended for use when an investment adviser firm recommends to (or selects for) its retail investment advisory client a proprietary investment or fund which is sponsored or otherwise involves the investment adviser firm, its affiliates or its related persons. Last updated in February 2023. Included with Silver, Gold, Platinum & Titanium packages. If you do not belong to one of these packages and would like to access this form, it can be purchased a la carte:Here

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.