Advisory Agreements

There are reports some SEC examiners recently have issued exam deficiencies as they interpreted arbitration clauses as preventing clients to take disputes to court

A source passes on several examples of death and arbitration clauses

Check out this example of an IA agreement

'There are still a few levers to pull' aside from a hedge clause

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