Investment Adviser Contracts. By Hugo Mayer Office of the Kansas Securities Commissioner. IA Contracts.
Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.
Investment Adviser Contracts
Office of the Kansas Securities Commissioner
For purposes of training, we will cover the requirements governing IA contracts under NASAA Model Rules. We will also cover other standard contractual provisions commonly associated with IA contracts. You are reminded as always to refer to your individual state requirements governing investment adviser contracts when conducting examinations in your home state.
The IA contract should be reviewed for its readability and use of plain English. Your respective agency may not have specific rules addressing the content of a contract, but nothing prevents you from suggesting or negotiating changes to a contract. Firm’s are more willing to adopt changes while in the registration process.