This Conflicts of Interest – Cash Sweep Program Checklist is a sample investment adviser form which is intended as a best practices checklist when an investment adviser firm charges an advisory fee on cash but also uses the cash sweep program of an affiliated broker-dealer.
This sample form should be considered as a starting point; the investment adviser firm will need to customize this sample form to its business model and policies and procedures. 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 Platinum Packages. Last updated September 28, 2021.
Before this product can be purchased, the purchaser will be directed to electronically sign a terms and use agreement. After signing that agreement, the purchaser will be redirected to the purchaser’s shopping cart to complete the purchase transaction.
If this product involves the purchase of a sample document on a la cart basis (not part of an annual compliance program subscription), the purchaser will be able to download immediately this sample document from our online store’s website after the purchase transaction is completed. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.
If you experience any issues when making the purchase, please email email@example.com
Only logged in customers who have purchased this product may leave a review.