Sample Form - Solicitor Annual Questionnaire - Affiliated and Licensed
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.
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Product Description
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. The majority of state securities regulators define the solicitation or referral of investment advisory clients as an investment advisory activity requiring the registration of the solicitor as an investment adviser or investment adviser representative. An investment adviser firm considering a solicitor arrangement should verify whether the intended solicitor’s activity is included under the state securities regulator’s definition of an investment adviser representative.
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 Gold and Platinum Packages.