entity · derived
Client consent
Derived node: assembled mechanically from the claims carrying client-consent. A roster, not an adjudicated definition.
Every claim under this term
- 2337268-002 : The IAA restricts the assignment of advisory contracts without client consent in order to protect investors against changes in the character or quality of the advisory services they contracted for.
- 2337268-037 : Mandatory ethics codes, disclosures, and client consents are effective instruments for curtailing fraudulent practices by investment advisers.