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Compensation disclosures, exclusive Form ADV data, tips to manage P&Ps and much more
he new procedures will be effective nine months from their publication
The SEC also promised the Commission will issue a public announcement about the relief due to expire Dec. 31 at least two weeks before the ...
There’s an expectation among regulators that you should know the signs of dementia in your clients
Elad Roisman
"I do not discount or ignore these calls for additional ESG information, but they raise questions in my mind about what the asset managers are ...
A peer shares the firm's statement that solicitors must sign
"Our firm offers both discretionary advisory services (where our firm makes the decision regarding the purchase or sale of investments) as well as non-discretionary services ...
A policy for a fundamental compliance duty
"The “wrap fee” paid by the client to the sponsor, which includes the fee for advisory services provided by CRMC is generally based on a ...
"Most often, we provide our services to you through an intermediary, such as a private wealth adviser or a wrap fee program sponsor with whom ...
"For free and simple tools to research our firm and representatives, please visit Investor.gov/CRS."
"When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the ...
"You also pay other fees and costs, directly or indirectly, related to our advisory services. These fees vary greatly based on your choice of account, ...
"We review the assets of client accounts on a continuous basis to ensure they are being managed consistently with the applicable investment strategy. A limitation ...
"If you participate in a wrap program, the wrap fee you pay to the Sponsor will not include Trading Costs if we 'trade away,' or ...
"When FMR serves as subadviser, you do not directly pay a fee to us. Instead, as compensation for our discretionary subadvisory services, we receive a ...
"WCMT principals will interview the client and gather documents from the client to allow the firm to identify the client’s ultimate financial goals"
"we offer our services in wrap fee advisory programs sponsored by unaffiliated financial advisors, broker-dealers, financial planners and banks"
"We will not implement or change your investment strategy without getting your approval"
"we are adopting an expedited review process for routine applications, an informal internal procedure for applications that would not qualify for the expedited process, and ...
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