RIA Compliance Consultants recently created a new sample investment adviser form, Assignment – Name Change Only – Letter to Client.
This form is a sample letter notifying a client of a change in an investment adviser firm’s name. It’s not intended for an assignment of an existing agreement to another firm.
This sample form is included with Bronze, Silver, Gold and Platinum Annual Compliance Program Packages. It can be purchased a la carte for $30 through the following link: Purchase Assignment – Name Change Only – Letter to Client.
General Disclosure
The information contained in this blog post is general in nature intended for educational purposes only and is not intended to be a comprehensive analysis of this topic. It is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. Please consult the applicable securities regulator’s rules and published guidance for more details about the topics referenced above. For more information about the limitations of this blog post and information on our website, please see our Disclosures webpage.
Posted by RCC
Labels: Assignment, Sample Forms
