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