Laws & Regulations第 99 / 110 题
Under the Investment Advisers Act of 1940, an advisory contract must generally provide that:
a.The adviser may assign the contract to another firm without notice
b.The advisory contract cannot be assigned to another party without the client's consent
c.Fees must always be performance-based
d.The client waives all rights under federal securities laws
解析
An investment advisory contract generally may not be assigned to another party without the client's consent, protecting the client's right to choose their adviser. If the adviser is a partnership, the contract must provide for notice to clients of any change in the membership of the partnership. Clients cannot be made to waive rights under the securities laws.
法律依据: Investment Advisers Act of 1940免费刷完整 110 道题库 — 无需注册。
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