Education and Business Background Sample Clauses

Education and Business Background. For: · each member of the investment committee or group that determines general investment advice to be given to clients, or · if the applicant has no investment committee or group, each individual who determines general investment advice given to clients (if more than five, respond only for their supervisors) · each principal executive officer of applicant or each person with similar status or performing similar functions. On Schedule F, give the: · name · formal education after high school · year of birth · business background for the preceding five years
Sample 1
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Education and Business Background. For: · each member of the investment committee or group that determines general investment advice to be given to clients, or · if the applicant has no investment committee or group, each individual who determines general investment advice given to clients (if more than five, respond only for their supervisors) · each principal executive officer of applicant or each person with similar status or performing similar functions. On Schedule F, give the: · name · formal education after high school · year of birth business background for the preceding five years 7. Other Business Activities. (check those that apply) A. Applicant is actively engaged in a business other than giving investment advice.
Sample 1Sample 2
Education and Business Background. 4 7 Other Business Activities ........................................................................................................................... 4 8 Other Financial Industry Activities or Affiliations ..................................................................................... 4 9 Participation or Interest in Client Transactions ............................................................................ .............. 5 10 Conditions for Managing Accounts ............................................................................................................ 5 11 Review of Accounts ................................................................................................................................... 5 12 Investment or Brokerage Discretion ........................................................................................................... 6
Sample 1

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