Communication - Text Messaging of Clients Permitted - Rep Acknowledgement & Authorization
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.
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Product Description
This sample document is intended for use by an investment adviser firm which permits the text messaging of clients for work purposes. The sample document is an example of an investment adviser representative’s acknowledgement of the investment adviser firm’s policy with respect to text messaging clients and authorization for the investment adviser firm to install an application on the phone or other electronic device and to inspect the phone or other electronic device for purposes of supervising text messaging with clients.
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. In addition, this sample form may need to be customized depending upon the configuration and features of the mobile device management system. To the extent that the investment adviser representative is an employee of investment adviser firm, a local legal counsel focused upon employment law should be consulted before using such form.
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.
Included with Silver, Gold and Platinum Packages.