Advisory Agreements

You didn't need to read about the recent enforcement settlement against a Malaysian investment adviser for charging fees for services that weren't provided to know ...

Section 205(a)(2) of the Advisers Act generally makes it unlawful for an SEC-registered adviser to enter into or perform any investment advisory contract unless the ...

Sections 205(a)(2) and (3) of the Advisers Act generally prohibit registered advisers, and advisers required to be registered, from entering into, extending, renewing, or performing ...

Your firm might be able to shield itself from class-action customer complaints if a new legal battle goes a certain way. While a plus for ...

This is a sample solicitor agreement that an RIA may enter into with a CPA or other professional. This comes courtesy of Matthew Tuttle, president ...

A peer shares the firm's language added to its subscription documents to alert clients of the need to obtain certain representations to help brokers comply ...

Want another instance illustrating the difference between investment advisers and broker-dealers? Arbitration clauses. B-Ds are permitted to hold clients to binding arbitration of disputes; RIAs ...

This is a sample subscription agreement for a private equity fund courtesy of Thomas Gallagher, a partner at Baker Hostetler in New York.

An example of elements to fold into subadviser agreements from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.

An example of a web-service agreement provided by one of your peers. Some suggest you have clients sign agreements like this and maintain them as ...