The Solicitors package will assist you to stay compliant with the solicitors rule when referral fees are paid. The Solicitors Agreement governs the terms of the relationship between the managing RIA and the party receiving the fees. The Client Compensation Disclosure and Acknowledgement is the client disclosure document and the form to be signed by the client.

The Solicitors Agreement package includes:

  • Solicitors Agreement
  • Client Compensation Disclosure
  • Client Acknowledgment
  • ADV disclosure sample language
  • Policies and Procedures sample language
  • White paper with compliance information

Forms are delivered electronically in WORD for your easy customization.

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