The Standard Financial Planning Agreement is a customizable standard agreement used with advisory clients that covers financial planning services and fees as well as the general terms and conditions of the advisory relationship. The Financial Planning Agreement serves as an important part of an investment adviser’s overall compliance program by meeting certain books and records requirements under SEC Rule 204-2(a)(10) and/or applicable state requirements by maintaining written agreements entered into by the investment adviser with any client or otherwise relating to the business of such investment adviser. Members also downloaded Standard Investment Advisory Agreement.

Version/Update: V.3/October 27, 2018

Total Page Count: 7

Source/Author(s): Connexien