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IA Compliance Toolbox

"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"
In a Wrap Program, we generally receive from .125% to 1.00% in annual compensation, depending on the program sponsor, type of account
The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
Our employees are paid a fixed salary, an annual performance-based cash bonus and participation in either direct equity holdings or an equity-linked deferred compensation plan
Examiners asked for the names of clients lost , including the reason, method that the termination was communicated, termination date, and the account asset value ...
348 keywords and phrases to consider using
This is an example of a 4-page Form CRS for a dual registrant
This example features a two-column format
Here's an example of a subadvisory agreement
Confluence sales personnel are compensated based on a portion of the fees paid to Confluence for advisory services, creating a conflict in that they have ...
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