Senior/Vulnerable Clients - Training Quiz
This quiz is intended to be given to employees after they have received training from the "Protecting Older Clients - Training" Power Point. This document will also provide documentation that employees completed training.
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Product Description
RIA Compliance Consultants has created a short quiz that is intended to be given to employees after they have received training from the “Protecting Older Clients – Training” Power Point. This document will also help provide some documentation of employees completing training, as is required under the Senior Safe Act.
Included with Bronze, Silver, Gold and Platinum Package and/or with purchase of Protecting Older Clients - Training. Initially posted June 13, 2018.
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. 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/