Course Overview

Description: To prevent conflicts of interest and other compliance issues, The SEC has outlined specific regulatory requirements for solicitor relationships. This course covers ADV requirements for solicitation and referral arrangements and walks you through the documentation and agreement paperwork you should complete in order to comply with regulatory rules and to communicate effectively with your clients and your referral network. 

Learning Objectives/Outcomes: After taking this course, you’ll be able to: 

  1. Understand registration requirements for third party solicitors
  2. Develop written agreements for solicitors
  3. Ensure proper client communication related to solicitation and referrals
  4. Ensure your ADV properly discloses referral and solicitation policies
  5. Create your own Solicitor Agreement using the template provided
  6. Create your own Solicitation Agreement Acknowledgement and Client Disclosure document using the template provided


Intended Audience: 1) Firm owners who are considering developing client referrals or formal solicitation agreements and 2) those owners who are already utilizing a referral network and who want to ensure compliance with regulatory rules.