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SUBSCRIPTION AGREEMENT DISCRETIONARY ACCOUNTS ONLY To be completed by registered II ROC dealers or registered advisers who have full discretionary authority trading through Fund SERVO:Cans Corporate

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How to fill out discretionary account definition examples

01

Review the guidelines for discretionary accounts provided by the financial institution.

02

Provide all necessary documentation to open a discretionary account.

03

Specify the investment objectives and risk tolerance for the account.

04

Discuss any limitations or restrictions on the investment advisor's discretionary authority.

05

Monitor the account regularly to ensure compliance with the agreed upon guidelines.

Who needs discretionary account definition examples?

01

Investors looking to grant an investment advisor the authority to make trades without prior approval.

02

Financial institutions offering discretionary account services.

03

Regulatory bodies overseeing the use of discretionary accounts.

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What is discretionary account definition examples?

A discretionary account is a type of account where an authorized broker makes investment decisions on behalf of the client without consulting the client for approval. An example of a discretionary account is when a financial advisor is given permission to buy and sell stocks on behalf of the client without obtaining prior approval for each transaction.

Who is required to file discretionary account definition examples?

Investment firms and brokers who offer discretionary accounts to clients are required to file information about these accounts.

How to fill out discretionary account definition examples?

To fill out a discretionary account definition, investment firms and brokers must provide information about the account holder, the authorization process, the types of investments authorized, and any restrictions on the broker's discretion.

What is the purpose of discretionary account definition examples?

The purpose of discretionary account definition examples is to ensure transparency and accountability in the handling of client investments by authorized brokers and investment firms.

What information must be reported on discretionary account definition examples?

Information that must be reported includes the details of the account holder, the specific authorization granted, the investment strategies permitted, and any limitations on the broker's discretionary authority.

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