Disciplinary Information. Registered investment advisers must disclose all material facts about any legal or disciplinary events that would be material to evaluation of SPARROW or the integrity of the firm’s management. XXXXXXX does not have any legal, financial or other “disciplinary” item to report.
Appears in 2 contracts
Samples: static.fmgsuite.com, static.fmgsuite.com
Disciplinary Information. Registered investment advisers must are required to disclose all material facts about regarding any legal or disciplinary events that would be material to your evaluation of SPARROW or the integrity of the firm’s managementeach supervised person providing investment advice. XXXXXXX does not have any legal, financial or other “disciplinary” item No information is responsive to reportthis item.
Appears in 2 contracts
Samples: Services Agreement, Services Agreement
Disciplinary Information. Registered investment advisers must disclose all material facts about any legal or disciplinary events that would be material to evaluation of SPARROW or the integrity of the firmFirm’s management. XXXXXXX SPARROW does not have any legal, financial or other “disciplinary” item to report.
Appears in 1 contract
Samples: static.fmgsuite.com
Disciplinary Information. Registered investment advisers must disclose all material facts about any legal or disciplinary events that would be material to evaluation of SPARROW or the integrity of the firmFirm’s management. XXXXXXX does not have any legal, financial or other “disciplinary” item to report.
Appears in 1 contract
Samples: static.contentres.com
