Website Disclaimer. IFS will display on the publicly accessible portion of the Website language substantially as follows: (a) Broker-dealers and their agents and investment advisers and their agents may only transact business in a particular state or country if they are licensed or otherwise qualified to do so under the regulatory requirements of that state or country. (b) Follow up, individualized responses to consumers in a particular state or country by broker-dealers and their agents and investment advisers and their agents which involve transactions in securities, soliciting transactions in particular securities, or providing personalized investment advice for compensation requires that the broker-dealer, investment adviser or their respective agents comply with licensing, registration and other requirements imposed by that state's or country's laws and regulations. (c) For information regarding the licensure status or disciplinary history of a broker-dealer, investment adviser or its agents, a consumer should contact his or her state securities law administrator or national financial services regulatory agency.
Appears in 2 contracts
Sources: Services Agreement (Westcore Trust), Services Agreement (One Group Mutual Funds)