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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: GUILD INVESTMENT MANAGEMENT, INC.CRD Number: 108390Annual Amendment
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How to fill out disclosure brochure
How to fill out disclosure brochure
01
Read the instructions carefully to understand the purpose and requirements of the disclosure brochure.
02
Gather all necessary information and documentation to support the content of the disclosure brochure.
03
Provide accurate and complete information about the firm's business practices, fees, conflicts of interest, and other relevant details.
04
Include any required disclosures about the firm's key personnel, investment strategies, and potential risks for clients.
05
Review the completed disclosure brochure for clarity, consistency, and compliance with regulatory standards.
06
Distribute the disclosure brochure to clients and potential clients as required by relevant regulations and guidelines.
Who needs disclosure brochure?
01
Financial advisors, investment firms, and other financial professionals who are required to disclose information about their services, fees, and potential conflicts of interest to clients.
02
Clients and potential clients who want to make informed decisions about working with a particular firm or individual based on transparent and comprehensive information.
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What is disclosure brochure?
Disclosure brochure is a document that provides important information about an investment adviser to clients.
Who is required to file disclosure brochure?
Registered investment advisers are required to file a disclosure brochure with the SEC or state securities regulators.
How to fill out disclosure brochure?
To fill out a disclosure brochure, an investment adviser must provide accurate and complete information about their firm, services, fees, disciplinary history, and other relevant details.
What is the purpose of disclosure brochure?
The purpose of a disclosure brochure is to provide clients with essential information about an investment adviser, enabling them to make informed decisions about their investments.
What information must be reported on disclosure brochure?
A disclosure brochure must include information about the adviser's services, fees, conflicts of interest, disciplinary history, key personnel, and other material facts.
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