Advisory Agreements

The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...

A peer shares an example of a non-disclosure agreement

This is a so-called mutual non-disclosure agreement, which means the non-disclosure terms apply to both parties to the agreement

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A peer shares the firm's investment advisory contract for an institutional client

This is an example a peer shares of a non-disclosure agreement

E-signatures are often used on private placement memos and subscription docs

Language purporting to limit an adviser’s liability in an advisory agreement is also called a 'hedge clause.' Whether a particular hedge clause is misleading is ...

A peer shares the advisory firm's IM agreement

This 18-page document displays an example of a Franklin Templeton investment management agreement