WSP/CoE Section Update – Text Messaging Prohibited
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.
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Product Description
This sample WSP section is intended for an investment adviser firm which prohibits the use of text messages between clients and supervised persons.
Included with Bronze, Silver, Gold and Platinum Packages.
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 completed before our systems can deliver the sample document.
*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.