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agray062103
10.05.2021 •
Social Studies
Match the definition to the term.
1. active listening
the process of hearing,
understanding, and evaluating when
others are speaking
paying close attention when
someone is speaking, asking for
clarification when needed, and providing
feedback
2. interpersonal skill
3. listening
a positive behavior used when
interacting with others
Solved
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Ответ:
Interpersonal skill is a positive behavior user when interacting with others listening is paying close attention when someone is the process of hearing, evaluating an understanding when others are speaking :)
Ответ:
D. This action cannot be taken because the compensation to the Adviser is excessive
Explanation:
A Registered Investment Adviser has established an enviable track record and decides that it should increase its asset management fee to reflect the increased value of its services. The Adviser amends its contract to include a fee equal to 5% of assets under management, charged each month to the client. This fee structure is disclosed in the Form ADV Part 2 filed with the Administrator and each customer signs a new advisory contract. Which statement is TRUE?This action cannot be taken because the compensation to the Adviser is excessive
Charging excessive fees is prohibited and a fee of 5% of assets per month is a 60% annual fee which is clearly an unbelievably high fee! The fee cannot be justified by including it in an amended Form ADV Part 2 filed with the Administrator so it would likely not be picked up by the Administrator unless there was a customer complaint.