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Trading – Pontera – Best Practices Checklist

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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

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.