RCC Non-Disclosure - Client Reference (I2)
NON-DISCLOSURE AGREEMENT – CLIENT REFERENCE
This Non-Disclosure Agreement – Client Reference (“Agreement”) is made between RIA Compliance Consultants, Inc., a corporation organized and existing under the laws of the State of Nebraska with an address of 6910 Pacific Street, Suite 102, Omaha, NE 68106 ("RCC") and the prospective client as identified below ("Prospective Client") (RCC and Prospective Client may also be referred to as “Party” or “Parties” throughout this Agreement).
WHEREAS, RCC is a consulting firm offering registration and compliance services to parties seeking to register as an investment advisor or already registered as an investment advisor with a securities regulator;
WHEREAS, Prospective Client is seeking registration and/or compliance services for its anticipated or existing investment advisor, and Prospective Client is considering RCC for such services;
WHEREAS, Prospective Client has requested to speak with an existing client of RCC (“Existing Client”) regarding RCC’s performance in providing investment advisor registration and/or compliance services; and
WHEREAS, RCC considers the identities of its Existing Clients, the existence of a consulting arrangement between RCC and its Existing Clients, and the underlying relationship and good will with its Existing Clients as proprietary, confidential and a trade secret.
THEREFORE, in consideration of RCC disclosing the identity of its Existing Client and authorizing Prospective Client to communicate with Existing Client and the mutual covenants and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, Prospective Client hereto covenants, undertakes and agrees with RCC as follows:
Prospective Client’s Name (Typically Firm):
Name of Prospective Client’s Signatory:
Title of Prospective Client’s Signatory:
Prospective Client’s Address:
Prospective Client’s City/State:
Prospective Client’s Zip Code:
ACCEPTED BY RIA Compliance Consultants, Inc.
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Your legal name
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Signed by Bryan Hill Signed On: 05/25/2022
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Document Name: RCC Non-Disclosure - Client Reference (I2)
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