IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)
Regular price $75.00
IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)
Regular price $45.00
IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)
Regular price $975.00
IA- Investment Adviser Privacy Policy Statement Notification
Regular price $25.00
IA- Identity Theft Red Flags Event Disclosure Log
IA- North Carolina Investment Adviser Surety Bond Form
Regular price $0.00
IA- North Carolina Ten Common Violations of the NC Investment Adviser’s Act
IA- North Carolina Investment Adviser Books and Records Document Request
IA- Standard Financial Planning Agreement with Fee Schedule Exhibit
Regular price $275.00
IA- Written Policies and Procedures Compliance Attestation
IA- Investment Adviser Political Contributions Log
IA- Investment Adviser Political Contribution Disclosure Statement
IA- Outside Business Activities (OBA) Disclosure Statement
IA- Investment Adviser Code of Ethics (COE) (Rule 204A-1)
Regular price $125.00
IA- Investment Adviser Restricted Securities List (RSL)
IA- Investment Adviser Insider Trading Statement of Understanding
IA- List of Designated Supervisory and Registered Personnel
IA- Electronic Communications Policy Disclosure Statement
BD- Electronic Communications Policy Disclosure Statement
BD- Broker-Dealer Best Execution Review Checklist
Regular price $325.00
BD- Broker-Dealer Quarterly Compliance Review Checklist
BD- Branch Office Customer Complaint Disclosure Form
BD- Broker-Dealer Gifts and Gratuities Disclosure Statement
BD- Compliance Certification for Non-Registered Covered Persons
IA- New Form ADV Part 1A Amendment Update Form
IA- Investment Adviser Preliminary Audit Questionnaire (PAQ)
IA- Investment Adviser Rep Attestation- Termination Procedures
IA- Investment Adviser Form U4 Confirmation of Accuracy
IA- Florida State Registered Investment Adviser Compliance Manual
Regular price $750.00
IA- Disclosure of Accounts at Broker-Dealers and Other Financial Institutions