Description
This Rep – Recruiting – Best Compliance Practices Checklist is a sample investment adviser form which is intended to identify examples of best practices for investment adviser firm when marketing to and recruiting prospective. investment adviser representatives (“IARs”).
RIA Compliance Consultants, Inc. is not a law firm, and the contents of this sample form do not constitute legal advice.
Included with Gold, Platinum & Titanium Packages through the Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/rep-recruiting-practices-checklist/. Last updated in March 2024.
Related Resources
This checklist should be used in conjunction with these related resources:
Rep – Recruiting – Best Practices Checklist
- Included with an Annual Compliance Program (Gold, Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/rep-recruiting-practices-checklist/
- Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/iar-recruiting-best-practices/
Rep – Prospective Rep Checklist – Compliance Issues
- Included with an Annual Compliance Program (Gold, Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/rep-prospective-rep-checklist-compliance-issues/
- Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/rep-prospective-rep-checklist-compliance-issues/
Privacy – Client Authorization to Release Copy of Client Records to Departing Representative
- Included with an Annual Compliance Program (Silver, Gold, Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/privacy-client-authorization-to-release-copy-of-client-records-to-departing-representative/
- Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/privacy-client-authorization-to-release-copy-of-client-records-to-departing-representative/
Privacy – Confirmation that Client Provided Rep with Info to Establish New Account
- Included with an Annual Compliance Program (Gold, Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/privacy-confirmation-that-client -provided-rep-with-info-to-establish-new-account/
- Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/privacy-confirmation-that-client-provided-rep-with-info-to-establish-new-account/
Client Letter – Confirming Rep Termination & Release of Information to New Firm
- Included with an Annual Compliance Program (Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/rep-term-client-letter-confirming-rep-term-release-of-info-to-new-firm/
- Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/client-letter-confirming-rep-termination-release-of-information-to-new-firm/
Rep – Recruiting – New Firm Recommending Prospect Retain Attorney Before Affiliating
- Included with an Annual Compliance Program (Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/rep-recruiting-new-firm-recommending-prospect-retain-attorney-before-affiliating/
- Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/rep-recruiting-new-firm-recommending-prospect-retain-attorney-before-affiliating/
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