Laws & RegulationsPregunta 102 de 110
When an adviser pays a cash fee to a third-party solicitor for referring clients, the arrangement generally requires:
a.No disclosure of any kind to the referred client
b.That the solicitor personally guarantee investment results
c.A written agreement and disclosure of the solicitor's compensation to the client
d.That the client pay the solicitor directly in cash
Explicación
Cash referral or solicitation arrangements generally require a written agreement between the adviser and solicitor and disclosure to the prospective client of the solicitor's relationship with the adviser and the compensation paid. This transparency lets clients weigh the conflict of interest behind a referral. Undisclosed paid referrals are prohibited.
Referencia Legal: Investment Advisers Act of 1940Practica las 110 preguntas gratis — sin registro.
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