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Advisory Agreements (56)
Your search for Advisory Agreements returned 56 results.
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12/06/2018 | Content area: Private Fund
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper discl...
12/02/2017 | Content area: Investment Adviser
A peer shares items that should be found within a new client's folder.
10/05/2017 | Content area: Investment Adviser
The aftermath of the Wells Fargo account scandal produces a new revelation about the firm (IA Watch, Sept. 29, 2016). A new study of the bank’s arbitr...
10/05/2017 | Content area: Investment Adviser
This 18-page document displays an example of a Franklin Templeton investment management agreement.
8/28/2017 | Content area: Investment Adviser
A peer shares the firm's investment advisory contract for an institutional client.
7/13/2017 | Content area: Investment Adviser
Perhaps you’ve heard that the Consumer Financial Protection Bureau has approved a final rule that prohibits those who supply “certain consumer financi...
7/05/2017 | Content area: Investment Adviser
A peer shares a copy of a subscription agreement that includes terms relevant to clients in various countries.
1/19/2017 | Content area: Investment Adviser | Broker-Dealer
A failure to adopt and implement compliance P&Ps reasonably designed to ensure its clients weren’t overbilled according to the terms of their advisory...
1/08/2015 | Content area: Investment Adviser
Convenience tops the arguments for permitting firms and clients to exchange documents signed with electronic signatures. The SEC doesn’t erect stop si...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
An investment adviser of a registered investment company shall be exempt from the requirement of sections 15(a) and 15(e) of the Act that the written ...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) An investment adviser of a registered separate account shall be exempt from the requirement under section 15(a) of the Act that the initial writte...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) For purposes of this section: (1) Fund means an investment company, and includes a separate series of the company. (2) Interim contract means a wr...
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...
1/30/2014 | Content area: Investment Adviser
Click here to open a Word file that a peer shares. This is a so-called mutual non-disclosure agreement, which means the non-disclosure terms apply to ...
1/30/2014 | Content area: Investment Adviser
A peer shares an example of a non-disclosure agreement.
1/30/2014 | Content area: Investment Adviser
This is an example a peer shares of a non-disclosure agreement.
9/09/2013 | Content area: Investment Adviser
Advisory firms can basically charge what they wish as long as the fee's fairly disclosed and clients agreed. But know that the SEC's watching for miss...
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...
5/13/2013 | Content area: Investment Adviser
Last week NASAA joined the fight by FINRA to reverse a hearing panel's approval of use of an arbitration clause banning class-action lawsuits (IA Wat...


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