Search for: "Finder's Fees Disclosure to Client"
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23 Mar 2023, 7:41 am
In this situation, the agreement with the sourcing agent would be fairly simple because it isn’t doing very much – it will basically be an NNN agreement with some additional provisions to cover the sourcing agent’s finder’s fee. [read post]
3 Jun 2022, 10:03 am
Disclosure of Trade Secrets in Patent Applications In Life Spine, Inc. v. [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]
6 Aug 2021, 4:00 am
Arizona – Arizona Lawmakers Invest More in Private Prisons After Record-High Campaign Contributions MSN – Jimmy Jenkins (WJZZ), Joseph Darius Jaafari and Justin Price (Arizona Republic) | Published: 7/29/2021 Lobbyists often spend money to entertain lawmakers to get them to vote in their clients’ interests and politicians welcome the meetings. [read post]
11 May 2020, 10:57 am
Three methods of discovery:(7) • Disclosure. [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]
26 Dec 2019, 8:52 am
In this situation, the agreement with the sourcing agent would be fairly simple because it isn’t doing very much – it will basically be an NNN agreement with some additional provisions to cover the sourcing agent’s finder’s fee. [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]
28 Feb 2019, 2:59 pm
In order to review the PSLRA’s impact, the authors collected data on every securities class action lawsuit between 2005 and 2016 that involved a disclosure claim. [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]
17 Dec 2018, 3:14 pm
Beware ICO “Finders. [read post]
26 Jul 2018, 9:01 pm
Micky Hammon, an investor in the clinics, to recruit investors, from which he received finders’ fees. [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]
14 Nov 2017, 3:27 am
Cryptocurrency transfers are encrypted and purportedly recorded on what is known as a “digital ledger,” and are hyped as a low-cost alternative to using banks, money transfer companies or brokers, who charge fees for transactions. [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]
12 Apr 2016, 3:50 pm
” “Fee or other compensation, direct or indirect” means any explicit fee or compensation for the advice received by the person (or by an affiliate) from any source, and any other fee or compensation received from any source in connection with or as a result of the recommended purchase or sale of a security or the provision of investment advice services including, though not limited to, such things as commissions, loads, finder’s… [read post]
12 Apr 2016, 3:50 pm
” “Fee or other compensation, direct or indirect” means any explicit fee or compensation for the advice received by the person (or by an affiliate) from any source, and any other fee or compensation received from any source in connection with or as a result of the recommended purchase or sale of a security or the provision of investment advice services including, though not limited to, such things as commissions, loads, finder’s… [read post]
20 Jan 2016, 11:17 am
Risks relating to disclosure obligations. [read post]
18 Jan 2016, 1:03 am
The claimants are seeking disclosure of records from the Sun, similar to those produced by News UK for News Of The World. [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]
