RIA Compliance Consultant’s is offering a 25% discount now until December 21, 2012, on our Complete Sample Forms Package to assist in implementing your investment adviser’s ongoing compliance program. Please use the code: SEC2012 at checkout to receive this discount.
Our Compliance Sample Forms Package includes: Advertising/Marketing Review Form, Annual Compliance Calendar Checklist, Books and Records Documentation Log and Suggested List of Compliance Files and Reports, Client File Review Form, Code of Ethics Acknowledgment Form, Code of Ethics Client Request/Delivery Log, Compliance Violations Reporting Form, Compliance Manual Acknowledgement Form, Compliance Training/Meeting Attendance Sign-in Form, Customer Privacy Policy Notice (Sample), Customer Privacy Policy Notice Request/Receipt Log, Fee Audit Review Form, Form ADV Request/Receipt Log, Form ADV Revisions Log, Gifts and Entertainment Reporting Form, Gifts and Entertainment Log, Lost Client Form, Lost Client Form Log, Outside Business Activity Reporting Form, Brokerage Account Disclosure Form, Annual/Initial Personal Securities Holding Report, Quarterly Personal Securities Transaction Report, Personal Securities Trading Request Form, Political Contributions Reporting Form, Political Contributions Log, Professional Designation Reporting Form, Social Media Review-Approval Form, Trade Error Documentation Form, Trade Error Log and Whistleblower Complaint/Tracking Reporting Form. The packet of sample forms will be delivered in an electronic format within one business day of purchase.
For more information about our Complete Sample Forms Package or to see other products being offered by RIA Compliance Consultants, please click here to visit our online store.
Posted by Bryan Hill
Labels: Books Records, Compliance Calendar, Compliance Program, Record Keeping
