Outside Business Activity – Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Outsi
Outside Business Activity – Client Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA is a sample investment adviser form which is designed for confirming with the non-profit that the non-profit entity is not a clien
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Product Description
Outside Business Activity – Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA.
Outside Business Activity – Client Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA is a sample investment adviser form which is designed for confirming with the non-profit that the non-profit entity is not a client of the investment adviser firm and the investment adviser representative’s role as a member of the board of directors is being performed in his personal capacity.
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 Bronze, Silver, Gold and Platinum Packages. Initially posted in November 2019.