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Colorado Securities Division – Sample Guidance for Ongoing Financial Planning – November 22, 2022


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Colorado Securities Division - Sample Guidance for Ongoing Financial Planning - November 22, 2022

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This is a sample document developed by the Colorado Securities Division that provides guidance regarding common compliance issues associated with providing ongoing financial planning utilizing a subscription fee model. Please understand that portions of this sample document may have been redacted or altered for confidentiality purposes and/or abbreviated/revised for ease of use and efficiency. This sample form is being made available for general reference and education purposes. RIA Compliance Consultants does not know whether your securities regulator will utilizr a similar document or make such a finding in an examination of your investment adviser firm. RIA Compliance Consultants is offering this sample form "as-is" with no warranty. This sample document is available to Bronze, Silver, Gold, Platinum and Titanium Annual Compliance Program Package clients. If you are in an Annual Compliance Program Package and do not have access, please contact tbolden@ria-compliance-consultants.com for assistance.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.