Monday, December 27, 2010

Standard IV(B) Duties to Employer: Additional Compensation Arrangements

Standard IV(B) Duties to Employer: Additional Compensation Arrangements
Offered reward by a client forDisclosure to an employer?Permission by an employer?
past investment performance
Yes
-
future investment performance (*)
Yes
(in writing)
Yes
(*) The reward may or may not be given based on the performance in the future.

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