Rep Term - Checklist
This sample document provides a checklist of tasks to perform when an investment adviser representative's affiliation is terminated with the investment adviser firm. Included with Silver, Gold and Platinum Packages.
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Product Description
This sample document provides a checklist of tasks to perform when an investment adviser representative's affiliation is terminated with the investment adviser firm.
Although this sample checklist includes over 25 tasks/issues, it should not be considered a comprehensive or exhaustive list of all tasks or issues that may need to be addressed. This sample form should be considered as a starting point; the investment adviser firm will need to customize the checklist to its business model and policies and procedures. Please see our disclosure about the limitations of sample forms at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
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.
Included with Platinum Package. Last updated July 2018.