Business, 05.01.2022 03:50 alexkrol10
An investment adviser wishes to engage the services of a third party to solicit new clients for the firm. To be in compliance with the Investment Advisers Act of 1940,
1. the solicitor must be registered as an IAR
2. compensation may not be sales related
3. the solicitor must not be subject to statutory disqualification
4. disclosure of the solicitation arrangement must be made to clients upon request
Answers: 1
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An investment adviser wishes to engage the services of a third party to solicit new clients for the...
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