RIA Compliance Consultants has created a short quiz that is intended to be given to employees after they have received training from the “Protecting Older Clients – Training” Power Point. This document will also help provide some documentation of employees completing training, as is required under the Senior Safe Act.
Included with Bronze, Silver, Gold and Platinum Package. Initially posted June 13, 2018.
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/
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