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Advisory Agreements

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 disclosure ...
A peer shares items that should be found within a new client's folder.
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 ...
This 18-page document displays an example of a Franklin Templeton investment management agreement.
A peer shares the firm's investment advisory contract for an institutional client.
Perhaps you’ve heard that the Consumer Financial Protection Bureau has approved a final rule that prohibits those who supply “certain consumer financial products and services” ...
A peer shares a copy of a subscription agreement that includes terms relevant to clients in various countries.
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 agreement produced ...
Convenience tops the arguments for permitting firms and clients to exchange documents signed with electronic signatures. The SEC doesn’t erect stop signs to their use, ...
(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 written ...
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 ...
(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 ...
The Investment Advisers Act of 1940Section 205 -- Investment Advisory ContractsCompensation, assignment, and partnership-membership provisions. No investment adviser, unless exempt from registration pursuant to Section ...
Last week, Charles Schwab & Co. decided to settle its long-running battle against FINRA over whether language in agreements prohibiting customers from joining class-action lawsuits ...
A peer shares an example of a non-disclosure agreement.
This is an example a peer shares of a non-disclosure agreement.
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 ...
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 ...
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 investment ...
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 ...
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