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Investment Adviser Appointment Form

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The document is an Investment Adviser Appointment Form from Aviva Life International Limited, intended for clients who wish to appoint an investment adviser and authorize the deduction of an investment adviser fee from their bond. It includes sections for personal details, delegation of power to the adviser, a declaration of understanding and consent, and authority to deduct fees. The form emphasizes the need for clients to ensure their adviser is qualified and outlines the process for fee deductions.

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Who is required to file a form ADV?

Who has to file a Form ADV? Investment professionals (both firms and individuals) will need to submit a Form ADV. *Note that Exempt Reporting Advisors (ERAs) must also file a Form ADV, although the specific requirements and deadlines may vary.

What is the purpose of the U4?

The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.

What is a U4 form for investment adviser representative?

The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

How long does U4 take to process?

Form U4 can be filed electronically by the broker-dealer firm on behalf of an associated person requiring registration. After the form is received electronically at the Central Registration Depository (CRD), FINRAs review is completed within approximately 15 days, barring any inaccuracies.

Where can I get form ADV?

Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available to the public on the SECs Investment Adviser Public Disclosure (IAPD) website.

What does form adv look like?

Form ADV includes two parts, both of which provide detailed information about the firm. Part I is a fill-in-the-blank form, and Part II is a brochure written in prose. The first part contains basic facts about the firm, like its fees, client types, assets under management and any disclosures.

What disqualifies you on a U4?

WHAT DISQUALIFIES YOU ON A U4? Any violations of securities or financial-related laws or regulations will disqualify a person on a U4. Additionally, all Felony convictions and certain misdemeanor offenses involving fraudulent pretenses within the previous 10 years are disqualifications.

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