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Informed Investing: 10 Key Aspects of Advisory Agreements
David Muckley, General Counsel, Secfi
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ABOUT THIS SCREEN
Designed For:
Investment advisers and individuals seeking investment advisory services. This Screen may be used for traditional services as well as “robo-adviser” engagements.
Purpose:
The provision of investment advisory services is a regulated activity. Agreements for such agreements have certain prohibited terms and certain required terms. This Screen was built to best for compliance with such terms and provide insight into other terms.
Limitations, Assumptions, Details:
This Screen was validated against 5 different investment advisory agreements and produced an average accuracy of 100%. Disclaimer: This screen should be used with a lawyer, not in replacement of a lawyer. Neither Screens nor any screen author is or will provide you with legal advice. AI accuracy rates vary based on a number of factors so always double-check all AI predictions.
ABOUT THE AUTHOR
David Muckley
David is an seasoned financial services lawyer. He has held senior legal and compliance roles for both buy and sell side firms, fintechs, and large global investment firms. He takes a proactive and pragmatic approach to problem solving.