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What information must be included in the separate written solicitor disclosure that the third-party solicitor must provide a client?


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As outlined by SEC Rule 206(4)-3, the separate written solicitor disclosure must include the following information:

  1. The name of the solicitor;
  2. The name of the investment adviser;
  3. The nature of the relationship between the solicitor and investment adviser;
  4. A statement that the solicitor will be compensated by the investment adviser for the referral;
  5. The terms of such compensation arrangement including a description of the fees paid or to be paid to the solicitor; and
  6. The additional amount that will be charged to the investment advisory fee and the differential attributable to such a solicitor arrangement.

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