Rep - IAR Annual Questionnaire
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.
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Product Description
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.
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 in Gold and Platinum Packages.