Bank - Referral Arrangement Disclosure Statement to Client
The Bank - Referral Arrangement Disclosure Statement to Client is a sample investment adviser form which is intended for use when an investment adviser firm pays a referral fee to a bank for the referral of a bank customer to the IA firm.
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Product Description
The Bank - Referral Arrangement Disclosure Statement to Client is a sample investment adviser form which is intended for use when an investment adviser firm pays a referral fee to a bank for the referral of a bank customer to the investment adviser firm. Please note that this sample form is not a substitute for the required written referral agreement between the investment adviser and the bank. This sample form should not be used without first consulting legal counsel who assisted the investment adviser with establishing the bank referral arrangement.
This sample form should be considered as a starting point and may require edits and customization depending upon the terms of such referral arrangement. Additionally, the investment adviser will likely need to update its policies and procedures related to the referral of bank customers. Please see our disclosure about the limitations of sample form at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
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. For an instructional video, please visit http://ria-compliance-consultants.com/subscription-account-demo/
Included with Platinum Package. Initially posted in December 2017.