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Social Studies, 30.09.2019 23:10 jraghubir50
Following the rules of the uniform securities act, an investment adviser ensures that all clients receive a written contract prior to engaging in advisory activities in their accounts. the contract clearly states all of the account details, including the services to be provided, the fees to be charged and the procedure for handling early terminations. because the ia has a tendency to pursue some rather unorthodox methods of analysis, the contract provides that the clients waive their right to sue in the event that the ia violates any provision of the usa. under the nasaa model rule on unethical business practices of investment advisers, investment adviser representatives and federal covered advisers: a) waivers of this type are never permitted. b) the adviser has met the requirements of providing a written contract. c) the contract is only enforceable if signed by the client. d) the contract is misleading and could lead to action by the administrator.
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