Assignment/Change of Ownership
Showing all 11 results
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ADV-W – Full Withdrawal of Investment Adviser Registration – Checklist
$150.00 Add to cart -
Advertising – Assignment/Buy-Sell/Succession
$125.00 Add to cart -
Assignment/Change of Ownership – Client Letter – Confirmation of New Owner After 60 Day Notice with 45 Day Rescission – No Response
$200.00 Add to cart -
Client Letter – Assignment/Change of Ownership – Assignment of Client Agreement to New Firm (Started by Reps at Old Firm)-No Response
$200.00 Add to cart -
Client Letter – Assignment/Change of Ownership – Change of Controlling Ownership – Client Written Response Required
$200.00 Add to cart -
Client Letter – Assignment/Change of Ownership – Confirmation of Assignment of Advisory Agreement after Initial 60 Day Notice
$100.00 Add to cart -
Client Letter – Assignment/Change of Ownership – Confirmation of New Owner After 60 Day Notice
$200.00 Add to cart -
Client Letter – Assignment/Change of Ownership – Death of Former Owner – New Owner – No Response Consent
$200.00 Add to cart -
Client Letter – Assignment/Change of Ownership – Internal Sale – 60 Day Notice – No Response Consent
$200.00 Add to cart -
Client Letter – Assignment/Change of Ownership – Rep Starting New Firm, Dual IAR Registration During Transition, 60 Days’ Notice and Authorization to Release Client Information
$250.00 Add to cart -
Succession – Due Diligence Checklist for Buying/Selling Rep’s Client List
$250.00 Add to cart
