Rep - Supervision - Letter of Caution
This Rep - Supervision - Letter of Caution is a sample investment adviser form which is an example of a formal letter of caution that an investment adviser firm’s chief compliance officer (CCO) may send to an investment adviser reps.
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Product Description
This Rep - Supervision - Letter of Caution is a sample investment adviser form which is an example of a formal letter of caution that an investment adviser firm’s chief compliance officer (CCO) may send to an investment adviser representative or supervised person when such individual is violating the code of ethic, compliance policy or fiduciary duty of the investment adviser firm.
The supervision and discipline of investment adviser representatives and supervised persons of an investment adviser firm can be complicated. As a result, RCC strongly recommends an investment adviser firm consult with a compliance professional and local legal counsel before using such sample form.
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/
Included with Gold and Platinum Packages. Initially posted in February 2020.