Description
This Rep – Recruiting – New Firm Recommending Prospect Retain Attorney Before Affiliating is a sample investment adviser form which is a memorandum intended to document a new investment adviser firm’s recommendation to a prospective investment adviser representative that he or she should retain legal counsel and conduct him or herself in a manner that does not violate any regulations protecting a client’s privacy or legally enforceable obligations owed by the rep to the previous investment adviser firm.
RIA Compliance Consultants, Inc. is not a law firm, and the contents of this sample form do not constitute legal advice. The user of this sample form should seek the assistance of legal counsel.
Included with Platinum & Titanium Packages via our Knowledge Base. Initially posted in January 2021.
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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