Disciplinary Information. Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that have occurred in the last 10 years that would be material to a client’s evaluation of Confluence or the integrity of Confluence’s management. Confluence has no information applicable to this item to disclose.

Appears in 3 contracts

Samples: Investment Advisory Agreement, Investment Advisory Agreement, Investment Advisory Agreement

Disciplinary Information. Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that have occurred in the last 10 years that would be material to a client’s or prospective client’s evaluation of Confluence or the integrity of Confluence’s management. Confluence has no information applicable to this item to disclose.

Appears in 3 contracts

Samples: Investment Advisory Agreement, Investment Advisory Agreement, Investment Advisory Agreement

Disciplinary Information. Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that ~~have occurred in the last 10 years that~~ would be material to ~~a client’s~~ your evaluation of ~~Confluence or the integrity of Confluence’s management~~each supervised person providing investment advice. ~~Confluence has no~~ No information ~~applicable~~ is responsive to this ~~item to disclose~~Item.

Appears in 2 contracts

Samples: 3(38) Investment Manager Services Agreement, 3(21) Adviser Services Agreement

Appears in 2 contracts

Samples: 3(21) Adviser Services Agreement, 3(38) Investment Manager Services Agreement

Common use of Disciplinary Information Clause in Contracts