RIA Forms & Research Library

The RIA Forms and Research Library compiles essential forms and information you need to do business with and disclose to your clients, internal forms for your back-office, and white papers to stay compliant with federal and state regulations. The forms are delivered in WORD for your customization.

The RIA Library includes 22 different packages, each of which contains multiple forms and research. The RIA Library includes:

• Advertising Rule Report and Advertising Review Checklist
• Best Execution Package (BD due diligence, trade ticket review, policy, and more)
• Client Checklists for New Engagements and Financial Updates
• Client Termination Letter
• Complaint Package: Complaint Definition, Complaint Handling, Complaint Log (3 documents)
• Compliance Calendar with Annual Review Form for RIA Policies
• Admin Forms: Action Items Form and Cost of Maintaining Your Practice (budget worksheet)
• Custody Rule
• Daily Blotter & Logs (cash, trading, holding record, and product cross reference)
• Gifts and Entertainment Log & Policy
• Internet Advertising & E-Mail Compliance
• Investment Policy Statement (“IPS”) template
• New Account Form
• Employee Forms (Employee Checklist, Annual Compliance Questionnaire, and IA Rep On Boarding Questionnaire)
• Privacy Notice, Policy, Confidentiality Agreements, Breach Letter, white papers
• Proxy Voting Policy and white paper
• Quarterly Report of Access Persons Securities Transactions and Holding Log
• Red Flags Rule – Identity Theft Prevention Program
• Year-End Compliance Tools (annual client contact, annual offer letter, renewals, +++)
• Directory of Contacts
• Switch Form for Mutual Funds and Variable Annuities
• Variable Annuity Risk Disclosure