Due Diligence (Ongoing) Questionnaire for Third-Party Money Manager Compliance Program

$250.00

This sample form provides example questions regarding an already approved third-party money manager’s compliance program.  This form does not address the third-party money manager’s investment performance.

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Description

This sample form provides example questions regarding an already approved third-party money manager’s compliance program.  This form does not address the third-party money manager’s investment performance.

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.

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 be completed before our systems can deliver the sample document.

Included with Gold and Platinum Packages.

Last updated September 2017

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