IA- Investment Adviser New Account Client Profile Form Resources Members also downloaded Due Diligence

Members also downloaded Due Diligence Checklist for Third-Party Service Providers

The Investment Adviser Non-Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4)-7

Members also downloaded Investment Adviser Small Firm Cybersecurity Program

The updated Broker-Dealer Best Execution Review Checklist is a useful tool and guide when meeting the requirements for conducting regular and rigorous reviews as part of a broker-dealer’s obligation to obtain best execution when handling customer orders

The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing

IA- Investment Adviser New Account Client Profile Form Resources Members also downloaded Due DiligenceThe Investment Adviser New Account Client Profile Form serves as an important part of an investment advisers overall new client onboarding process. The New Account Client Profile form collects information about an advisory client, their financial status, instructions about the advisory account and certain provisions that will govern the advisory relationship. Upon completion and signing, this New Account Client Profile form, along with the