The Ten Affirmations of Ethical Behavior
1. If registered with the SEC or a state securities regulator as an investment adviser I will provide my clients with all the disclosures required under those laws (including Part II of Form ADY).
2. I will describe any relationship I have with money managers that I recommend, consider for recommendation, or otherwise mention to the plan.
3. I will describe any payments I receive from money managers I recommend, consider for recommendation, or otherwise mention to the plan for consideration.
4. I have prepared policies and procedures to address conflicts of interest or to prevent conflicting payments or relationships from being a factor when providing advice to my clients.
5. I will monitor and reconcile the amount of commissions paid when using brokerage commissions to pay consulting fees and alert plan sponsors when consulting fees have been paid in full.
6. I have established procedural steps to ensure that the plan receives the best execution for its securities trades when the consulting fees are paid with the plans brokerage commissions.
7. I will describe any arrangements with broker-dealers under which I will benefit if money managers place trades for their clients with such broker-dealers.
8. If hired, I will acknowledge in writing whether or not I have a fiduciary obligation as an investment adviser to the plan while providing consulting services.
9. I will acknowledge whether or not I consider myself a fiduciary under ERISA with respect to the recommendations I provide the plan?
10. I will describe the percentage of my plan clients that utilize money managers, investment funds, brokerage services or other service providers from whom I receive fees?
Legal Disclaimer
" Unless expressly stated otherwise above, (1) nothingcontained in this website was intended or written to be used, can be used by any taxpayer or may be relied upon or used by any taxpayer, for the purpose of avoiding penalties that may be imposed on the taxpayer under the Internal Revenue Code of 1986, as amended, (2) any written statement contained in this website relating to any Federal tax transaction or matter may not be used by any person to support the promotion or marketing of or to recommend any Federal tax transaction(s) or matter(s) addressed in this website, and (3) any taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor with respect to any Federal tax transaction or matter contained in this website. No one, without our express prior written permission, may use any part of this website in promoting, marketing or recommending an arrangement relating to any Federal tax matter to one or more taxpayers. Furthermore, it may not be shared with any other person without our prior written consent other than as required by law or by ethical rules. However, this prohibition on sharing this website does not preclude you from sharing with others the nature of this transaction.."
All informational articles provided by this website do not constitute tax or legal advice. Consult your tax or legal advisors before making any tax or legally related investment decisions. All articles are published for general informational purposes and are not an offer or solicitation to sell or buy any securities or commodities. Any particular investment should be analyzed based on its terms and risks as they relate to your specific circumstances and objectives.
Privacy Policy
The Solo-k Group will not sell, rent, swap, or otherwise disclose to any third party any information provided during your subscription registration. In addition, we do not include on our site any functionality allowing third parties to perform "reverse searches" to identify individuals from e-mail addresses.
All SOLO-K GROUP subscribers and members receive e-mail alerts of THE SOLO-K GROUP events and updates or news about other THE SOLO-K GROUP activities. Of course, if you do not wish to receive THE SOLO-K GROUP e-mails, we can remove you from our e-mail list at any time upon your request. We do not use tracking software, such as "cookies."
We maintain a secure process for collection, transmission, and storage of information related to all information given to THE SOLO-K GROUP through this website
The Solo-k Group adheres to the S.E.C. and Dept of Labor "10 Affirmations of Ethical Behavior."
Home
Visit our parent site at http://www.solo-k.com
