This Form ADV Part 3 – Training Tool is a sample investment adviser form which is intended to train investment adviser representatives and supervised persons regarding the SEC’s requirements for the Form CRS/Form ADV Part 3 relationship summary. This training tool consists of PowerPoint slides and quiz for a compliance training session. .
Included with Gold & Platinum Packages. Posted November 2020.
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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Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued.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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