This is a sample affirmation that a foreign investment adviser firm, upon the demand of the SEC, will deliver the required books and records to the SEC’s principal office in Washington, DC or the SEC’s regional office pursuant to Rule 204-2(j).

This is a sample email for an investment adviser firm’s CCO to confirm the extension of a deadline for answering/responding to a deadline set by an examiner of the SEC or state securities regulator.

This is a sample format for an investment adviser firm’s CCO when formally replying to the deficiency or findings letter from a securities regulator during an examination. Included with Value, Bronze, Silver, Gold and Platinum.

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. Included with Platinum Package.

This sample form is a checklist of certain issues which should be considered by an investment adviser firm when preparing a full withdrawal of its registration as an investment adviser. Included with Platinum Package.

This sample checklist offers several compliance recommendations related to the use of radio, podcast or broadcast over social media. Included with Gold and Platinum Packages

This is a sample investment adviser form which is intended to provide examples of how to make an investment adviser's website more accessible to individuals with disabilities. Included with Value, Bronze, Silver, Gold and Platinum Packages.

The following are sample disclosures for a book written by an investment adviser firm or supervised person of the investment adviser firm. Included with Gold and Platinum Packages.

The sample checklist disclosures are intended for reviewing business cards and email/letterhead footers for compliance purposes. Included with Bronze, Silver, Gold and Platinum Packages.

This sample checklist provides some guiding principles for an investment adviser firm that is considering the use of case studies in advertising. Included with Silver, Gold and Platinum Packages.

This is a sample checklist for use when reviewing non-performance advertising. Included with Bronze, Silver, Gold and Platinum Packages.

This is a sample form intended for an investment adviser to track the compliance review of advertising and marketing pieces. Included with Bronze, Silver, Gold & Platinum Packages.

This checklist has several points an IA should consider when selecting a D/B/A name under which they will offer advisory services. Included with Bronze, Silver, Gold and Platinum Packages.

Provide your employees with a form to report any professional designations they earn. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This is a sample disclosure for a report showing the past performance of certain investments recommended for a client account (assuming that the report is not intended to represent IA's past investment performance).

Advertising - Seminar Presentation Disclosure is an example of certain key disclosures that an investment adviser should make during a seminar presentation. Included with Gold and Platinum Packages.

Provide your employees with a form to request approval to use social media for business purposes. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Available to Silver, Gold and Platinum Packages. Last updated June 2018.

The Advertising – Strategy Fact Sheet - Disclosure is a sample investment adviser disclosure for a fact sheet regarding an investment strategy. Such disclosure is not intended for an investment strategy fact sheet which includes past performance.

This sample disclosure is an example of a terms, conditions and disclosures webpage or footer for the website of an investment adviser. Included with Bronze, Silver, Gold and Platinum Packages.

Advertising – Assignment/Buy-Sell/Succession (also named "Succession – Client Communication Re Assignment/Buy-Sell") is a sample investment adviser checklist which is intended for the advertising review of a communication to existing clients.

The Annual Financial Report – Cover Letter for California is an example of a cover letter that a state registered investment adviser firm in California could use to submit its required annual financial statement.

This form is intended to assist an investment adviser firm in documenting its risk assessment, supervision duties and annual review and assessment of its compliance program (i.e. policies/procedures). in Bronze, Silver, Gold, & Platinum Packages

This checklist is designed to be used by IA that receives referrals from a bank or credit union, operates on such premise, or is owned by such entity. The checklist provides methods for avoiding any customer confusion about identity of IA.

This form is used when the IA firm is owned by or an affiliate of a bank or credit union, offers investment advisory services on the premise of a bank or credit union, or receives client referrals from a bank or credit union.

The Bank - Referral Arrangement Disclosure Statement to Client is a sample investment adviser form which is intended for use when an investment adviser firm pays a referral fee to a bank for the referral of a bank customer to the IA firm.

Use this form to evaluate the broker-dealers through which client trades are executed and determine which broker-dealer should be engaged to provide services for a specific client. Included with Forms, Value, Bronze, Silver, Gold and Platinum Package

This sample document is a log of the checks (made out to a third-party by the client) received and then forwarded by the investment adviser firm. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Keep track of all important client information including contact information, account numbers and important dates. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample form is a sample checklist to identify and document issues reviewed and discussed during a client meeting. Included with Value, Bronze, Silver, Gold and Platinum Packages.

This is a sample investment adviser form which is intended to track the document retention of required records. Included with Value, Bronze, Silver, Gold and Platinum Packages.

This package contains two documents. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample form was designed to model the format in which the U.S. Securities and Exchange Commission typically requests investment advisers to submit their trade blotters during an examination.

This sample form is an example of documenting the appointment of a branch supervisor and branch supervisor designee. Included with Silver, Gold and Platinum Packages,

These are examples of best practices associated with an investment adviser representative sharing office space with an unaffiliated, third-party office sharer who doesn't provide investment advisory services.

This sample form is an example of a checklist for adding a new branch location. It includes items that may need to be updated and some basic compliance/supervision tasks that may be necessary depending upon the circumstances. Included with Gold and

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. Not included with any Packages.

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. Included with the Gold and Platinum Packages.

Keep track of your annual, quarterly and ongoing compliance responsibilities. Included with Forms, Value, Bronze, Silver, Gold, and Platinum Packages.

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. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample checklist list is intended to raise some of the issues that an investment adviser should consider when determining which individual to designate as the chief compliance officer (CCO) within an investment adviser firm. Bronze - Platinum

This sample document is a letter to a client confirming the receipt of an inquiry or complaint and the initiation of an investigation of such inquiry/complaint. Included with Gold and Platinum Packages.

This sample document is a checklist of some key compliance tasks for the chief compliance officer during the receipt/investigation/resolution of a client complaint. Included with Gold and Platinum Packages.

This sample document is a letter from the investment adviser firm to a rep requesting an explanation regarding a customer complaint. Included with Gold and Platinum Packages.

This sample document is a log to record client complaints. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample document is intended help a compliance officer summarizes a client complaint and track the various action items and progress of the investigation/resolution of the client complaint. Included with Gold and Platinum Packages.

This sample client letter is intended for use when the investment adviser representatives are starting a new investment adviser firm. Included with Platinum Package.

This form is intended for use when there’s a change in the controlling ownership of the investment adviser.

This sample document is intended as a confirmation of the assignment of an investment advisory agreement, and it should be used after sending the client a 60 days' notice letter to the client. Included with Platinum Package.

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. Included with Platinum Package.

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. Included with Platinum Package.

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. Included with Platinum Package.

This is a sample letter to a client from an investment adviser representative who is starting a new investment adviser firm and will be dually licensed as an investment adviser representative with the old and new firm during the transition.

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. Included with Gold and Platinum Package.

This is a sample checklist of best practices for an investment adviser firm when a client dies. Included with Bronze, Silver, Gold and Platinum Packages.

Document dates and reasons for a client ending relations with the firm. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Keep a log of all clients who have left the firm. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Allows your investment adviser to document each employee's acknowledgement of their receipt of the firm's code of ethics. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Track and document clients' requests for a copy of the firm's code of ethics. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Provide your employees with a form to notify the chief compliance officer about any compliance violations. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Allows your investment adviser to document each employee's acknowledgement of their receipt of the firm's compliance manual. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample form is an example of a client authorization in order for an investment adviser to deliver (via email) certain investment advisory documents. Included with Value, Bronze, Silver, Gold and Platinum Packages.

This sample document is intended for use by an investment adviser firm which permits the text messaging of clients for work purposes. Included with Silver, Gold and Platinum Packages.

This social media and electronic messaging annual questionnaire is a sample investment adviser form which is intended as a supervisory/compliance tool for use with an investment adviser firm’s supervised persons.

This Conflict of Interest - Cash Sweep Program is a sample investment adviser form which is intended as a best practices checklist when an investment adviser firm charges an advisory fee on cash but also uses the cash sweep program.

This is a sample disclosure when an IA representative makes a recommendation to purchase a commission-based product during the financial planning process, which is a conflict of interest. RCC is offering no safe harbor related to such conflict.

This form discloses the conflict of interest that exists when an IA representative recommends insurance of securities paying varying commissions during the financial planning process. Included with Bronze, Silver, Gold and Platinum Packages.

This sample checklist covers identifying conflicts of interest (with examples) and preparing disclosures of conflicts of interest. It is not a comprehensive list. Included with Bronze, Silver, Gold and Platinum Packages.

This sample form is a best practices checklist for purposes of custody as it relates an investment adviser firm which accepts credit cards or ACH bank payments for investment adviser services.

Excel spreadsheet intended to assist an SEC registered investment adviser firm in documenting that client authority to initiate a first-party transfer between a client’s accounts at different qualified custodian is not custody.

This sample spreadsheet is intended to help an investment adviser firm document that each Standing Letter of Authorization (SLOA) to transfer an investment advisory client’s funds to a third-party meets the SEC’s custody guidance. Value - Platinum

This sample spreadsheet is to assist an investment adviser firm in reviewing its qualified custodian’s client account documentation for inadvertent custody and any subsequent corrective action. Included with Bronze, Silver, Gold and Platinum

This sample checklist provides an investment adviser with 12 relatively easy steps to improve its cybersecurity and better protect confidential client information.

RIA Compliance Consultants has compiled a list of Cybersecurity and Information Security best practices that can be used to assess the state of your firm's information security policies. Included with Bronze, Silver, Gold and Platinum Packages.

This form can be used as an acknowledgement that employees are aware of the investment adviser firms cybersecurity policies and procedures and that employees will refrain from violating the policies. Included with Gold and Platinum Packages.

This is a best practices checklist for websites regarding the EU's GDPR. RCC does not specialize in information technology/systems or EU regulations. Included with Gold and Platinum Packages.

This sample letter allows IA firm to notify client that he has been sent a phishing email. The letter explains what a phishing email is and gives recommendations on protecting accounts. Included with Gold and Platinum Packages.

Cybersecurity – Website Security Checklist for an Investment Adviser is a sample form which provides several best practices for improving security of an investment adviser firm’s website. Last Updated April 2019

This Sample Form is designed to help you investment adviser firm ask appropriate questions for Cybersecurity service providers Included with Gold and Platinum Packages.

This is an example for documenting the due diligence review of an alternative investment. This should not be considered a comprehensive listing of all the due diligence issues/factors/criteria when reviewing an alternative investment.

This sample form is intended for use by an IA when a client independently selects (without assistance, referral or recommendation by IA) a service provider in order to document that IA has not provided due diligence on such service provider.

Document your investment adviser's audit of client fees. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample form is intended to assist an IA conducting an internal audit of its fee calculation for account subject to an asset-based investment advisory fee. in format of Excel spreadsheet. Included with Bronze, Silver, Gold and Platinum Packages.

This sample form is intended as a letter to clients about the investment adviser firm’s new procedure of looking back and updating the valuation of non-traded, private investment funds for purposes of calculating the investment adviser firm’s fee.

This sample pre-engagement disclosure and prospective client acknowledgement is intended to confirm that any access to eMoney (or other software) provided by an IA firm is only for background purposes during intro phase.

This Form ADV - Language - COVID-19 Risks is a sample investment adviser form which is an example of disclosure language for Item 8 of the Form ADV Part 2A related to the investment risks caused by the COVID-19 pandemic.

This Form ADV - Part 3 - Cover Letters for Relationship Summary are sample investment adviser forms which include examples of cover emails and letters for an investment adviser firm's delivery to clients of its initial and updated Form CRS/Form ADV 3

Once an investment advisor firm sends out its annual offer letter, it will need to track and document any client requests for a copy of the investment advisor firm's Form ADV Part 2A. Included with Forms, Value, Bronze, Silver, Gold and Platinum Pack

Document reviews and changes to the firm's Form ADV. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Form ADV – Worksheet for Calculating RAUM is a sample spreadsheet for an investment adviser to reconcile its regulatory assets under management calculations under Item 5.D and Item 5.F of the Form ADV Part 1A.

Document gifts given and received by employees from clients or financial organization. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Provide your employees with a form to report gifts given and received from clients or financial organizations. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

These are examples of best practices associated with developing or implementing heightened supervision plans. Included with Silver, Gold and Platinum Packages.

This is a sample heightened supervision plan for an investment adviser representative with credit problems or a bankruptcy, take lien or a compromise with a creditor. Included with Silver, Gold and Platinum Packages.

Insider Trading – Identifying and Mitigating Risk Checklist (also known as "PST – Supervising for Insider Trading Checklist") is a sample form intended to assist an investment adviser firm in identifying risks of trading on inside information.

This is a sample fee invoice statement for asset management services rendered by an investment adviser to a client. Included with Silver, Gold and Platinum Packages. Last updated December 2017.

The Invoice - Hourly is a sample investment adviser form which is an example of an invoice for services already rendered on an hourly basis. Included with Silver, Gold and Platinum Packages.

This sample letter is intended for use when an investment adviser representative is seeking permission from a state securities regulator for dual registration on a temporary basis. Included with Gold and Platinum Packages.

This sample form is an example of an acknowledgement for an insurance only agent, who is not investment adviser representative licensed, in attendance at an investment advisory client meeting.

This Non-Licensed Owner - Acknowledgement by Owner is a sample investment adviser form which is intended for use with an investment adviser ownern (less than 25%) who is not a supervised person and not licesed as an investment adviser representative.

This Non-Licensed Owner - Checklist of Compliance Issues is a sample investment adviser form which is intended to give an investment adviser firm's CCO guidance on certain issues that may arise if an investment adviser firm has a non-licensed owner.

Outside Business Activity - Client Acknowledgement is a sample IA form whereby a client acknowledges that the representative's other business activity is outside of, separative from and not supervised by IA firm. Included with Platinum Package.

This sample form might make sense to use when an investment adviser representative’s recommendation to purchase a fixed indexed annuity within a retirement account is an outside business activity which is not approved by the investment adviser firm.

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. Included with Silver, Gold and Platinum Packages.

Provide your employees with a form to report their outside business activities. Included with Silver, Gold and Platinum Packages.

This is a sample order memorandum or trade ticket. Included with Forms, Value, Bronze, Silver, Gold and Platinum.

This is sample investment adviser form is intended to assist an investment adviser firm investigate the outside business activities of supervised persons. Included with Bronze, Silver, Gold and Platinum Packages.

Outside Business Activity – Client Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA is a sample investment adviser form which is designed for confirming with the non-profit that the non-profit entity is not a clien

Provide your employees with a form to annually report their personal securities holdings. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Provide your employees with a form to report their personal brokerage accounts. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Use this sample letter to request duplicate confirmations and statements be provided to the compliance department of your registered investment adviser firm. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Provide your employees with a form to report their personal securities trades. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample document is a pre-clearance approval form for a personal securities transaction. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Provide your employees with a form to quarterly report their personal securities holdings. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This is sample document for confirming with each non-access person that he or she is not permitted to access certain non-public information regarding clients and the non-public securities recommendations of the investment adviser firm.

Document employee donations to political candidates. Included with Forms, Value, Bronze, Silver, Gold, and Platinum Packages.

Provide your employees with a form to any contributions they make to political candidates. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This form includes several tips and best practices for an investment adviser firm who is preparing for or communicating with an examiner during a routine investment adviser examination by the SEC or state securities regulator. Updated December 2018

This sample form is intended to document a client’s authorization for a third-party to release confidential client information and documents to an investment adviser. Included with Silver, Gold and Platinum Packages.

This is a sample form whereby a client authorizes the release of client's information to a departing rep and his or her new firm. Included with Silver, Gold and Platinum Packages.

An investment adviser firm must provide a privacy policy notice to all clients at the time of engagement and annually thereafter. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Track and document clients' requests for a copy of the firm's privacy policy. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This sample form is a confirmation by the client that the he provided his IA rep with his non-public info necessary to establish a new account/relationship at the new firm and the IA rep did not rely on any non-public client info from old firm.

This form may be used for a client to give permission to a third party to disclose their personal identifiable information to your registered investment adviser on behalf of the client. Included with Forms, Value, Bronze, Silver, Gold and Platinum.

This form is a disclosure in which the client confirms he/she understands the risks of investing in Private Equity Funds. The form also defines Private Equity and lays out the risks that accompany investing in Private Equity Funds.

This sample form is a checklist of approximately 20 steps or issues that an investment adviser firm may potentially want to consider or address. Included with Platinum Package.

This form is designed to help your investment adviser firm keep track of its investment adviser representatives by documenting any changes to their business in the last 12 months. Included in Gold and Platinum Packages.

This sample checklist includes various compliance issues which may be relevant in determining whether to affiliate with a prospective investment adviser representative. Included with Gold and Platinum Packages.

This Rep - Supervision - Letter of Caution is a sample investment adviser form which is an example of a formal letter of caution that an investment adviser firm’s chief compliance officer (CCO) may send to an investment adviser reps.

Rep – Diminished Capacity of IAR is a checklist of some of the issues and best practices that an investment adviser firm should consider with respect to an investment adviser representative who may have diminished capacity or cognitive impairment.

This sample document provides a checklist of tasks to perform when an investment adviser representative's affiliation is terminated with the investment adviser firm. Included with Silver, Gold and Platinum Packages.

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. Included with Platinum Package.

This client letter is a sample form intended for use when an investment adviser representative is starting a new investment adviser firm.

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. Included with Platinum Package.

This form is to assist in documenting an IA firm's use of a plan participant's user Id when advising/managing his self-directed retirement account as it relates to custody. Included with Silver, Gold and Platinum Packages. Updated October 2018.

Allows your firm to document the review of advertising and marketing materials. Included with Forms. Value, Bronze, Silver, Gold and Platinum Packages.

The Checks Received and Forwarded Log allows your investment adviser to document all checks received and forwarded on behalf of clients. Included in Value, Bronze, Silver, Gold, and Platinum Packages.

This is a sample form for the Chief Compliance Officer (CCO) of an investment adviser to acknowledge the investment adviser firm's Policies and Procedures Manual. Not included in Annual Compliance Packages.

This is sample form whereby the client authorizes the investment adviser firm to send regulatory disclosures, correspondence and other communication to client via email. Included with Silver, Gold and Platinum Packages.

This is a sample form to log and document compliance issues and deficiencies. Included with Value, Bronze, Silver, Gold, and Platinum Packages

Document attendance at compliance training sessions. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

The Customer Complaint Log lets your investment adviser document customer complaints and their resolutions. Included in Value, Bronze, Silver, Gold, and Platinum Packages.

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. Included with Gold and Platinum Package.

This sample form provides example questions regarding an already approved Signal/Model Provider’s compliance program. Included with Gold and Platinum Packages.

This sample form provides example questions regarding an already approved sub adviser’s compliance program. Included in Gold and Platinum Packages.

This sample form provides example questions regarding an already approved third-party money manager’s compliance program. Included with Gold and Platinum Package. Last updated September 2017

Offers Form ADV Part 2A and Delivers a Privacy Policy Notice to Client.

The Personal Trading Pre-Clearance form documents that proposed transactions do not conflict with the investment adviser firm's Personal Security Transaction Policy. Included in Value, Bronze, Silver, Gold, and Platinum Packages.

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months. Included with Gold and Platinum Packages.

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months. Included with Gold and Platinum Packages.

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months. Included with Gold and Platinum Packages.

The Supervision Assignment Chart allows your investment adviser to chart and document the duties and responsibilities of all employees of the investment adviser firm. Not included in Annual Compliance Packages.

A log to keep track of any whistleblower complaints filed. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Please consult the "Learn More" section of each form's description for an indication whether it is included within this package.

These are examples of best practices for an investment adviser firm during a routine examination by the SEC or a state securities regulator. Included with Bronze, Silver, Gold and Platinum Packages.

This sample log is intended for tracking and organizing documents and information requested/delivered during an examination of an investment adviser firm by a securities regulator. Included with Forms, Value, Bronze, Silver, Gold and Platinum

This is sample form is intended for an investment adviser firm which is conducting its own mock examination of itself. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This is a sample investment adviser form which is an example of a privilege log that a securities regulator may request if an investment adviser firm asserts a legal privilege from producing a responsive document requested during an examination.

These are sample letters for when an investment adviser requests that the SEC provide confidential treatment under the Freedom of Information Act for documents produced to the SEC. Please review SEC Rule 83 and consult with legal counsel before use.

This sample form was designed to be used by firms to document an employee's internal reporting of suspected senior financial exploitation. Included with Bronze, Silver, Gold and Platinum Packages. First uploaded in July 2018.

This is a review of state reporting requirements in all 50 states for senior or vulnerable adult financial exploitation that are applicable to investment adviser firms.

This Sample Form helps investment advisers document a client's authorization for the investment adviser to communicate with the client's trusted emergency contact. It has been updated to conform with Senior Safe Act. Last updated June 2021.

This checklist identifies certain questions, issues and/or best practices when conducting due diligence related to the purchase or sale of an investment adviser representative’s client list. Included in Gold & Platinum Packages Updated April 2019

For an investment adviser rep who is dually licensed as a registered representative of a broker-dealer, this is sample acknowledgement disclosing to a client common differences between a broker-dealer/commission arrangement and an investment adviser.

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. Included with Gold and Platinum Packages.

Included with Gold and Platinum Packages.

This is a sample investment adviser form which is intended to document that an investment was not analyzed, solicited or recommended by a representative of an investment adviser firm. Included with Gold and Platinum Packages.

For a client rolling over funds from a qualified retirement plan to an IRA, this is sample form for a client to acknowledge differences between retirement plan and IRA. Included with Bronze, Silver, Gold and Platinum Packages.

This form may be used to assist in documenting the information gathered from clients to assist in determining each client's investment risk tolerance. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

This Sample Form helps investment advisers document a client's authorization for the investment adviser to communicate with the client's trusted emergency contact. Included with Silver, Gold, and Platinum Packages.

This sample checklist is intended for use when an investment adviser firm recommends to (or selects for) its retail investment advisory client a proprietary investment or fund which is sponsored or otherwise involves the investment adviser firm.

This is a sample investment adviser form which is intended to confirm that a client account is not being managed for tax efficiency purposes. Included with Gold and Platinum Packages,

Provide your employees with a form to report any trade errors. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages. Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

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. Included in Silver, Gold, and Platinum Packages.

This sample form is intended to help an investment adviser firm internally document a supervised person's "whistleblowing" complaint. Included with Gold and Platinum Packages.

After you purchase this WSP/CoE Update Section you will receive an email with instructions on how to download the section. Included with Bronze, Silver, Gold and Platinum Packages.

This sample WSP/compliance manual section for an IA firm which has a supervised person who may participate as a member of an investors committee of a private investment fund not managed or advised by or otherwise affiliated with the IA firm.