Personal Securities Transactions Form – Non-Access Person Acknowledgment
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.
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Product Description
To the extent that an investment adviser firm has classified certain individuals associated with the investment adviser firm as “non-access” persons, this is sample document for confirming with each individual classified as a 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. If investment adviser also has a confidentiality agreement with the non-access person, RCC recommends that local legal counsel review and customize this sample form for consistency with such agreement.
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 Platinum Package. Last updated August 2017.