Referral Arrangement Disclosure and Referral Fees Sample Clauses

Referral Arrangement Disclosure and Referral Fees. If you have been referred to the Firm by another person or entity outside of the Firm, a referral fee may be paid to that person or entity. The referral arrangement will be the subject of, and governed by, a written Agreement, which the parties will enter into prior to implementation of the referral. In this case, details of the manner in which the referral fee is calculated and the party to whom it is paid will be provided to you. It is illegal for the party receiving the fee to trade or advise in Securities if it is not duly licensed or registered under applicable Securities legislation to do so.
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