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News November 4, 2019 Issue

Ensure Advisory Contracts are Up to Date with Current Compliance Concerns

Advisory contracts with clients are, in many ways, not that different than they have always been. They outline the scope of services a firm provides to clients, contain non-exclusivity clauses allowing firms to do business with other clients, and generally set forth the adviserís and the clientís responsibilities Ė but are they keeping up with the times in ways that affect a firmís compliance, not to mention protection?

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