Laws & Regulations第 14 / 100 题
An investment adviser wants to enter a contract that assigns the advisory agreement to another firm following a merger. Under the Uniform Securities Act, assignment of an advisory contract generally requires:
a.No client involvement whatsoever
b.Only a notice filing with the SEC
c.Approval solely by the Administrator
d.Consent of the client
解析
An advisory contract may not be assigned without the client's consent. This protects the personal nature of the advisory relationship. A change in control of the adviser may also constitute an assignment requiring consent.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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