Custody – SLOA Transfer to 3rd Party – Spreadsheet Documenting Requirements
This sample spreadsheet is intended to help an investment adviser firm document that each Standing Letter of Authorization (SLOA) to transfer an investment advisory client’s funds to a third-party meets the SEC’s custody guidance. Value - Platinum
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Product Description
This sample spreadsheet is intended to help an investment adviser firm document that each Standing Letter of Authorization (SLOA) to transfer an investment advisory client’s funds to a third-party meets the SEC’s custody guidance.
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/ .
Please understand that the SEC’s guidance on custody related to SLOA may change from time-to-time, and RIA Compliance Consultants offers no assurances that this sample form reflects the most current guidance and interpretations of the SEC. This sample form is not a substitute for reading and continuously monitoring the SEC’s guidance on custody issues related to third-party transfers and SLOAs.
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 October 2018.