ESG Investing – SEC Exam Request List

November 17, 2023

This ESG Investing – SEC Exam Request List are examples of environmental, social and governance (“ESG”) related items from investment adviser examinations by the U.S. Securities and Exchange Commission (“SEC”) in 2023.

Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages). Available for a la carte purchase through our online store at

Trading – Checklist for Detecting Cherry Picking

October 04, 2023

This is a sample investment adviser form which is a checklist of best practices to asssit an investment adviser firm in detecting cherry picking of block traddes and IPO allocations.

Available to Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium Packages) through our Knowledge Base. Available for a la carte purchase at: https://www.ria-compliance-consultants.com/product/trading-checklist-for-detecting-cherry-picking/

Due Diligence – Document Request List When IAR Affiliating with BD

September 14, 2023

To access this content, you must purchase Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately) or Due Diligence – Document Request List When IAR Affiliating with Broker-Dealer.

Advertising – Endorser (Affiliated) – Disclosure Statement

July 27, 2023

This Advertising – Endorser (Affiliated) – Disclosure Statement is a sample investment adviser form which is intended for an affiliated endorser or solicitor of an investment adviser for documenting the required disclosures under SEC Rule 206(4)-1.

This endorser disclosure statement explains that that the endorser is employed by an affiliate of the investment adviser firm, describes the affiliated endorser’s conflict of interest and notes the limitations of the endorser’s activities.

Available to Platinum & Titanium clients. Available to purchase a la carte in our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-endorser-disclosure-statement/

ESG Investing – Client Consent of Adviser’s Use of ESG Objectives

July 12, 2023

This ESG Investing – Client Consent of Adviser’s Use of ESG Objectives is a sample investment adviser form which is used to document a client’s written consent to an investment adviser’s use of ESG and other non-financial objectives when providing investment advice or recommendations or making discretionary investment decisions.

Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Can be purchased a la carte through our online store: https://www.ria-compliance-consultants.com/product/investment-adviser-client-consent-esg/

Custody – Best Practices for Supervising Bill Pay Services

July 05, 2023

Custody – Best Practices for Supervising Bill Pay Services is a sample checklist which provides an investment adviser firm with some best practices for supervising and/or mitigating the risks associated with providing bill pay services to clients.

Included with Platinum & Titanium Packages. Available to all others a la carte through our online store.

Annual Review – Certification of Annual Retrospective Review of IRA Rollover

February 21, 2023

This Annual Review – Certification of Annual Retrospective Review of IRA Rollover is a sample investment adviser form which is intended to document a senior executive’s certification of annual retrospective review of IRA Rollovers in accordance with the U.S. Department of Labor’s Prohibited Transaction Exemption (“PTE”) 2020-02.

Included with Platinum & Titanium Packages. Available for a la carte purchase through our Online Store at Annual Review – Certification of Annual Retrospective Review of IRA Rollover.

Personal Securities Transaction – Checklist for Personal Account Not Controlled by Access Person

January 10, 2023

This Personal Securities Transaction – Checklist for Personal Account Not Controlled by Access Person is a sample checklist of issues an investment adviser firm faces when an access person utilizes a blind trust or third-party money manager for managing his or her personal account and is seeking an exception to the firm’s personal securities transaction policies and procedures on the basis that the access person does not have control of the personal account.

Included with Gold, Platinum & Titanium Packages. Not in a package? Learn more here, or purchase form a la carte for $200 here.

Advertising – Testimonial/Endorsement (No Compensation) Authorization

November 16, 2022

This Advertising – Testimonial/Endorsement (No Compensation) Authorization is a sample investment adviser form which is intended as an example of an authorization from a client or third-party to utilize a testimonial or endorsement without any compensation.

Under this authorization, the client or third-party confirms the accuracy of the testimonial or endorsement, authorizes the investment adviser to use of the testimonial/endorsement and requires the client or third-party to notify the investment adviser if the testimonial/endorsement becomes inaccurate.

Included with Platinum & Titanium Packages. Initially posted in November 2022

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Advertising – Endorser (Unaffiliated) – Disclosure Statement

November 16, 2022

This Advertising – Endorser (Unaffiliated) – Disclosure Statement is a sample investment adviser form which is intended as an example of a disclosure statement for an endorsement by an unaffiliated party of an investment adviser registered with the SEC. This sample disclosure statement is intended to document an unaffiliated endorser’s required disclosures to a prospective client in accordance with the SEC’s Marketing Rule. This sample endorser disclosure statement includes an acknowledgement of the endorser’s status, a description of the compensation and examples of an endorser’s conflicts of interest.

Included with Platinum & Titanium Packages. Don’t have access to this sample form? Buy it Here. Initially posted in November 2022.