Advertising – Assignment/Buy-Sell/Succession (also named “Succession – Client Communication Re Assignment/Buy-Sell”) is a sample investment adviser checklist which is intended for the advertising review of a communication to existing clients by an investment adviser firm references the assignment of client agreements/buy-sell of a client list/succession of an investment adviser firm to a third-party.
Learn more about the fiduciary duty of an investment adviser firm when communicating to clients about a new owner, assignment of a client agreement or the buy-sell of a client list.
Included with Value, Bronze, Silver, Gold & Platinum. Initially posted in May 2019.
New Sample Form: Assignment – Name Change Only – Letter to Client
Succession – Due Diligence Checklist for Buying/Selling Rep’s Client List
Client Letter – Assignment/Change of Ownership – Internal Sale – 60 Day Notice – No Response Consent
Assignment/Change of Ownership – Client Letter – Confirmation of New Owner After 60 Day Notice with 45 Day Rescission – No Response
Client Letter – Assignment/Change of Ownership – Death of Former Owner – New Owner – No Response Consent
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This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.
Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser. Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document.
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