Advisory Agreements

From at least 2019, ClearPath used improper hedge clauses in advisory agreements. These agreements were still active as of mid-2024 and controlled ClearPath’s relationships with ...

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