a federal covered investment adviser may enter into a contract with a client that provides for performance-based compensation under all of the following conditions except a) compensation is based on gains, less losses, for a period of no less than 1 year b) the client must meet certain minimum financial standards c) the formula used to calculate compensation includes realized capital losses and unrealized depreciation d) disclosure that the performance compensation may create an incentive for the adviser to take greater risks

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annyarias1600 annyarias1600

22-11-2022
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a federal covered investment adviser may enter into a contract with a client that provides for performance-based compensation under all of the following conditions except a) compensation is based on gains, less losses, for a period of no less than 1 year b) the client must meet certain minimum financial standards c) the formula used to calculate compensation includes realized capital losses and unrealized depreciation d) disclosure that the performance compensation may create an incentive for the adviser to take greater risks

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contexto1026 contexto1026 · Answer 1 · 2022-11-26T07:45:28+01:00

A federal lined advisor investment might enter into a contract with a consumer that has for performance-based compensation below all of the subsequent conditions except revelation that the performance compensation might produce incentive for the adviser to require bigger risks.

According to the Investment Advisors Act of 1940, advisor is a personal who receives compensation for investment recommendation. The exclusions from this definition embrace any bank or bank company and a person whose recommendation or services is said solely to U.S. Government securities.

And ministerial personnel, full-time or temporary, aren't enclosed within the definition of either consultant representatives (supervised persons) or investment advisers.

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