Outside Business Activity – Recommending FIA in lieu of SMA in Retirement Account – Client Acknowledgement

$250.00

This sample document is intended for use when an investment adviser representative recommends use of a fixed indexed annuity in lieu of an account separately managed by an investment adviser.

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Description

This sample document is intended for use when an investment adviser representative recommends use of a fixed indexed annuity in lieu of an account separately managed by an investment adviser.

This sample document should be considered a starting point that the investment adviser will need to customize and add the various reasons why the fixed indexed annuity is being recommended.

This sample form is not designed to meet the requirements of the U.S. Department of Labor’s Conflict of Interest/Fiduciary Rule and/or Best Interest Contract Exemption.

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 Silver, Gold and Platinum Packages.

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