Branch Office – Adding New Office Location Checklist

$200.00

This Branch Office – Adding New Office Location Checklist is a sample investment adviser form which is an example of a checklist for an investment adviser when adding a new branch location.  It includes items that may need to be updated and some basic compliance/supervision tasks when an investment adviser adds a new branch location that may be necessary depending upon the circumstances.  It is not intended as a comprehensive list of all the possible issues and steps that an investment adviser should be taken into consideration upon adding a branch office.  In addition, the investment adviser firm should review RCC’s sample form for adding a new representative.  Depending upon the circumstances, the investment adviser firm may need to consult with legal counsel.

Updated December 2020.

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This Branch Office – Adding New Office Location Checklist is a sample investment adviser form which is an example of a checklist for an investment adviser when adding a new branch location.  It includes items that may need to be updated and some basic compliance/supervision tasks when an investment adviser adds a new branch location that may be necessary depending upon the circumstances.  It is not intended as a comprehensive list of all the possible issues and steps that an investment adviser should be taken into consideration upon adding a branch office.  In addition, the investment adviser firm should review RCC’s sample form for adding a new representative.  Depending upon the circumstances, the investment adviser firm may need to consult with legal counsel.

This sample form should be considered as a starting point; the investment adviser firm will need to customize this sample form to its business model and policies and procedures.  Please see our disclosure about the limitations of sample form at the bottom of http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/ .

This sample document  is delivered via the purchaser’s online subscription account with RIA Compliance Consultants.  If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document.

Included with Gold and Platinum Packages.  Initially posted in July 2017. Updated December 2020.

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