RIA Compliance Consultants has released a new sample form, “Bank Referral Arrangement Disclosure Statement to Client.”
Category Archives: Sample Forms
Retirement Plan Rollover – Client Acknowledgement Sample Form Now Available with Bronze Package
November 27, 2017
We are pleased to announce that our sample form “Retirement Plan Rollover – Client Acknowledgement” is now available to clients in our Bronze Package – Annual Compliance Program Subscription.
On August 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) of U.S. Securities and Exchange Commission (“SEC”) released a Risk Alert which details its examination of the cybersecurity preparedness of 75 broker-dealers, investment advisers and investment companies in the U.S. In comparison to prior cybersecurity examinations, this exam involved more active testing and validation of the firms’ procedures and controls related to cybersecurity. Click here to read the Risk Alert.
Documenting Client Meetings
July 17, 2017
Is your investment adviser firm consistently covering certain key issues during client meetings and then carefully documenting these discussions and follow-up items?
