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Aa. Please complete the following table as of June 30 2017 or latest available time period. Types of Clients Public Pension Plans Corporate Pension Plans Taft-Hartley Plans Foundations/Endowments Other Please Specify Number of Clients in Each Category By Client s Total AUM Under Over 1B 1B- 5B 5B- 10B 10B bb. Annual report is acceptable but any recent material changes should be included. f. Is your firm a registered investment advisor with the SEC under the Investment Advisers Act of 1940 If...
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What is appendix a firm questionnaire?
The appendix A firm questionnaire is a document used to collect information about a firm's financial details, ownership structure, and compliance with regulations.
Who is required to file appendix a firm questionnaire?
Firms that are regulated by a specific governing body or authority are required to file an appendix A firm questionnaire.
How to fill out appendix a firm questionnaire?
The appendix A firm questionnaire is typically filled out online or submitted through a secure portal provided by the regulatory body.
What is the purpose of appendix a firm questionnaire?
The purpose of the appendix A firm questionnaire is to assess the financial stability, ownership structure, and compliance of the firm with regulatory requirements.
What information must be reported on appendix a firm questionnaire?
The information required on the appendix A firm questionnaire includes financial statements, ownership details, and compliance records.
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