Rep - Prospective Rep Checklist - Compliance Issues
This sample checklist includes various compliance issues which may be relevant in determining whether to affiliate with a prospective investment adviser representative. Included with Gold and Platinum Packages.
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Product Description
This sample checklist includes various compliance issues which may be relevant in determining whether to affiliate with a prospective investment adviser representative. This sample form is not intended as a comprehensive list of all the possible issues and steps that should be taken into consideration when determining whether to affiliate with an individual as an investment adviser representative. Depending upon the circumstances, the investment adviser firm may need to consult 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 the bottom of 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 Gold and Platinum Packages. Last updated in September 2018.