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Trading – Pontera – Sample Language for Form ADV Part 2A


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Trading - Pontera - Sample Language for Form ADV Part 2A

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Trading – Pontera – Sample Language for Form ADV Part 2A

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This Trading - Pontera - Sample Language for Form ADV Part 2A is a sample investment adviser form which is sample disclosure language for a Form ADV Part 2A regarding an investment adviser use of Pontera. This form includes examples of disclosure language related to Pontera in Items 4, 5 and 12 of the Form ADV Part 2A. It specifically addresses certain risks associated sharing client passwords with Pontera and a conflict of interest when fees vary between advisory services. This sample form is included with Platinum & Titanium annual compliance program packages. It can be purchased a la carte for $175 on our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-pontera-form-adv/

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.