kaal:claim:2337268-020

Mandatory disclosure of referral compensation, related person status of brokers and dealers, and soft dollar benefits is designed to defuse conflicts of interest arising when an adviser runs several types of business and services.

Source quote, verbatim

investment advisers must disclose compensation given or received for client referrals,55 related persons status of brokers and dealers,56 and soft dollar benefits, i.e., research or other products and services received in connection with client transactions.57

From

Wulf A. Kaal, Investment Adviser Regulation (2013), 4. Disclosure, p. 13
https://ssrn.com/abstract=2337268 · source PDF

Cite as

Wulf A. Kaal, Investment Adviser Regulation (2013). SSRN: https://ssrn.com/abstract=2337268

Holds when

advisers filing Form ADV Part 1A

Classification

designsupport: arguedprivate-funds

Verify

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Attestation record: colloquium/attestations/d8946cd7c5d83ba1...json
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