Rather self-explanatory...
After discussing your particular investment account needs, we will recommend the appropriate custodian to broker your account. Note: You may have accounts with different custodians. Your SciVest Direct statement will consolidate your holdings on one customized statement each month. We can complete this process with you.
The Know Your Client (KYC) form is a crucial document in the securities industry. It is used to gather essential information about a client to ensure compliance with regulatory requirements, and to understand the client’s financial situation, investment knowledge, and risk tolerance.
An Investment Management Agreement (IMA) is a contract between an investor and an investment manager. It outlines:
1. Services Provided
2. Fees and Expenses
3. Investment Guidelines
4. Reporting
5. Custody of Assets
This agreement ensures both parties understand their roles and responsibilities.
An Investment Policy Statement (IPS) is a document that outlines an investor’s goals and guidelines for managing their investments. It includes:
1. Objectives
2. Risk Tolerance
3. Asset Allocation
4. Performance Monitoring
5. Review and Rebalancing
This helps ensure the investment strategy aligns with the investor’s goals.
