This sample training material is intended for annual compliance training of supervised persons of an investment adviser firm. There are three case studies covering conflicts of interest, use of social media and alternative investments. This material includes background facts and answers.
This sample training material should be considered as a starting point; the investment adviser firm will need to customize this sample training materials. Please see our disclosure about the limitations of sample form at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
Included with Gold and Platinum Packages. Initially posted in December 2018.