Social Studies, 12.08.2020 07:01, Hrjohnson2004
ABC Advisors Inc. is an investment advisory firm that charges clients an annual fee of 1% of assets for their advisory services. ABC is approached by XYZ broker-dealer who offers to pay ABC trailing commissions on all mutual funds purchased through the broker-dealer. This would allow ABC to make additional revenue from mutual fund customers. Which of the following is true pertaining to such arrangements?[A] If IA clients receive full disclosure about the asset-based fees as well as the commission-based fees, the arrangement is allowed.[B] Only when proper approval has been received from the broker/dealer would an arrangement such as this be allowed.[C] There is no scenario where commission compensation is allowed to be paid to an IA.[D] If the IA is receiving commissions on top of the normal asset-based fees, this arrangement is prohibited under any circumstances.
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ABC Advisors Inc. is an investment advisory firm that charges clients an annual fee of 1% of assets...
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