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Agreements (23)
Your search for Agreements returned 23 results.
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2/27/2019 | Content area: Investment Adviser
Ben Anderson, principal with Anderson PLC in Minneapolis, provides this checklist for advisers entering into contracts with vendors.
11/27/2017 | Content area: Investment Adviser
A peer shares an example of a request for proposal (RFP) for custodian and technology services.
10/23/2017 | Content area: Investment Adviser
Here's an example of a subadvisory agreement.
10/05/2017 | Content area: Investment Adviser
This 18-page document displays an example of a Franklin Templeton investment management agreement.
9/01/2016 | Content area: Investment Adviser
Back in May, when the Consumer Financial Protection Board proposed a rule governing arbitration agreements, you may have paused to wonder if you would...
3/14/2016 | Content area: Investment Adviser
Click here to open a Word document that is an example of a BYOD or bring your own device agreement. Pamela Gupta, president of Outsecure, a cybersecu...
10/09/2014 | Content area: Investment Adviser
FINRA’s arbitration forum has myriad problems, many of which would be solved by allowing investors to pursue their grievances in court, reads a report...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) It shall be unlawful for any investment adviser required to be registered pursuant to section 203 of the Act to pay a cash fee, directly or indir...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 205 -- Investment Advisory ContractsCompensation, assignment, and partnership-membership provisions. No inv...
4/28/2014 | Content area: Investment Adviser | Broker-Dealer
Last week, Charles Schwab & Co. decided to settle its long-running battle against FINRA over whether language in agreements prohibiting customers from...
3/31/2014 | Content area: Investment Adviser
You may be pressured by colleagues to rush through your review of a vendor contract but there's a very good reason you should take your time: It could...
8/19/2013 | Content area: Investment Adviser
The text of H.R. 2998, The Investor Choice Act of 2013, finally appeared last week. The bill would prohibit mandatory arbitration clauses in both inve...
4/22/2013 | Content area: Investment Adviser
A new business venture can excite like spring baseball or a day off of work. But in those early, sunny days, it may never occur to the partners that d...
4/01/2013 | Content area: Investment Adviser
Shrunken government coffers provide reason enough for state officials to question the status of an individual's classification as an independent contr...
3/11/2013 | Content area: Investment Adviser | Broker-Dealer
The battle rages over an important case that ultimately could allow broker-dealers to shield their firms from the threat of class-action lawsuits file...
2/27/2012 | Content area: Investment Adviser
Your firm might be able to shield itself from class-action customer complaints if a new legal battle goes a certain way. While a plus for firms, some ...
9/26/2011 | Content area: Investment Adviser
The use of sub-custodians isn't new but with news emerging almost daily about financial shocks in Europe, it's wise to ask some tough questions.You ma...
12/20/2010 | Content area: Investment Adviser
Want another instance illustrating the difference between investment advisers and broker-dealers? Arbitration clauses. B-Ds are permitted to hold clie...
5/24/2010 | Content area: Investment Adviser
Financial regulatory reform legislation would give the SEC the ability to end the standard industry practice of forcing upon upset investors mandatory...
11/30/2009 | Content area: Investment Adviser
The investor, a religious group, placed restrictions upon the investment adviser managing its account: buy no tobacco stocks. A purchase of Sara Lee s...


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