Sample Form - Chief Compliance Officer Acknowledgement Form
This is a sample form for the Chief Compliance Officer (CCO) of an investment adviser to acknowledge the investment adviser firm's Policies and Procedures Manual. Not included in Annual Compliance Packages.
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Product Description
This is a sample form for the Chief Compliance Officer (CCO) of an investment adviser to acknowledge the investment adviser firm's Policies and Procedures Manual.
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.
This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to be completed before our systems can deliver the sample document.
Not included in Annual Compliance Packages.