Rep – Diminished Capacity of IAR
Rep – Diminished Capacity of IAR is a checklist of some of the issues and best practices that an investment adviser firm should consider with respect to an investment adviser representative who may have diminished capacity or cognitive impairment.
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Product Description
Rep – Diminished Capacity of IAR (also referred to as Senior/Vulnerable Clients – Diminished Capacity of IAR) is a checklist of some of the issues and best practices that an investment adviser firm should consider with respect to an investment adviser representative who may have diminished capacity or cognitive impairment. This sample form is not intended as a comprehensive list of all the possible issues and steps that should be taken into consideration with respect to an investment adviser representative that potentially has cognitive impairment or diminished capacity. RCC is not expert on cognitive impairment or diminished capacity. This checklist is not a substitute for working with legal counsel. 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/ 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 completed before our systems can deliver the sample document. For an instructional video, please visit http://ria-compliance-consultants.com/subscription-account-demo/ Included with Value, Bronze, Silver, Gold and Platinum Packages. Initially posted in May 2019. Rep – Diminished Capacity of IAR (also referred to as Senior/Vulnerable Clients – Diminished Capacity of IAR) is a checklist of some of the issues and best practices that an investment adviser firm should consider with respect to an investment adviser representative who may have diminished capacity or cognitive impairment.