Search for: "Finder's Fees Disclosure to Client"
Results 1 - 20
of 38
Sorted by Relevance
|
Sort by Date
18 Aug 2010, 3:10 pm
This material is general information, and it is not intended to create any lawyer-client relationship. [read post]
20 Jan 2016, 11:17 am
Risks relating to disclosure obligations. [read post]
18 Aug 2010, 3:10 pm
This material is general information, and it is not intended to create any lawyer-client relationship. [read post]
8 Feb 2022, 2:00 am
The FAB makes it clear that just because a service provider doesn’t call itself a “consultant” or charge a “consulting” fee doesn’t determine whether it must comply with the new disclosure rules. [read post]
17 Apr 2012, 8:59 pm
For example, a 401(k) plan vendor may receive ‘‘revenue sharing’’ from a mutual fund that it makes available to its clients, and a consultant may receive a ‘‘finder’s fee’’ from an investment adviser it recommends to its clients. [read post]
5 Feb 2018, 6:43 am
On one extreme, a sourcing agent will find a factory, take a finder’s fee and then bow out, letting you deal with the factory directly. [read post]
11 May 2020, 10:57 am
Three methods of discovery:(7) • Disclosure. [read post]
10 Feb 2014, 9:28 pm
So why then do so many reputable immigration lawyers think they can simultaneously represent the investor, the regional center and the project developers all in the same EB-5 transaction (while possibly also receiving finder’s or consulting fees on the side for procuring investors)? [read post]
10 Feb 2014, 9:28 pm
So why then do so many reputable immigration lawyers think they can simultaneously represent the investor, the regional center and the project developers all in the same EB-5 transaction (while possibly also receiving finder’s or consulting fees on the side for procuring investors)? [read post]
15 Nov 2019, 3:10 pm
Third-party solicitors must also collect a signed and dated acknowledgment from every solicited client that such client has in fact received the RIA’s brochure and the solicitor’s disclosure document. [read post]
25 Feb 2013, 1:43 pm
For example, some advisers that place client assets with particular funds or fund platforms are, in return, paid “client servicing fees” by such funds and fund platforms. [read post]
10 Feb 2014, 6:28 pm
So why then do so many reputable immigration lawyers think they can simultaneously represent the investor, the regional center and the project developers all in the same EB-5 transaction (while possibly also receiving finder’s or consulting fees on the side for procuring investors)? [read post]
4 Dec 2013, 9:07 am
State-registered advisers need to examine their state’s rules to determine who constitutes the “client. [read post]
25 Aug 2006, 5:44 am
I asked this reader if H&R Block was paid some sort of finders fee or origination fee by the bank, because I wanted to know why all the taxpayers were directed to only one bank. [read post]
4 Jan 2017, 3:55 pm
Disclosure documents that are materially inaccurate or incomplete must be corrected promptly, and the corrected version must be distributed promptly to pool participants. [read post]
31 Dec 2019, 8:13 am
If a manager runs a website that does not collection personal information, then no separate disclosure is needed for the website. [read post]
5 Jan 2015, 3:31 pm
California-registered investment advisers that manage pooled investment vehicles and are deemed to have custody of client assets must, among other things, (1) provide notice of such custody on the Form ADV, (2) maintain client assets with a qualified custodian; (3) engage an independent party to act in the best interest of investors to review fees, expenses and withdrawals; and (4) retain an independent certified public accountant to conduct surprise… [read post]
15 Feb 2007, 8:09 am
On the other hand, S&C cites a case for the proposition that any public discussion of a lawyer's fee arrangement with his client could violate the confidentiality rules. [read post]
25 Feb 2019, 3:20 pm
The existence of what amounted to a finders’ fee suggested what Columbia Law Professor John Coffee called a “rather sordid market of buying and selling plaintiffs in securities class actions. [read post]
13 May 2009, 1:50 pm
" Weinstein said the payments to Ramirez from 2003 to 2005 didn't obligate Wetherly to make any disclosures. [read post]
