97. Does your firm charge your clients a fee to be invested in those funds (i.e., fees in addition to the fees you charge for your non-discretionary or discretionary consulting services)? ( ) Yes ( ) No If how does your firm mitigate the potential for conflicts of interest with respect to “Yes,” recommending such investment funds to clients? (maximum 500 words) 98. Does your firm or a related company receive revenue or have relationships with managers that you recommend, consider for recommendation, or otherwise mention to your clients? ( ) Yes ( ) No Describe those relationships. (maximum 500 words) Indicate the nature of the revenue received. Databases ( ) Client Referrals ( ) Conferences ( ) Broker Commissions ( ) Software ( ) Consulting ( ) Other ( ) If specify. “Other,” How do your policies or procedures address conflicts of interest or prevent the above payments or relationships from being a factor when you provide advice to your clients? (maximum 500 words) 99. Does your firm or any affiliate enter into soft-dollar arrangements? ( ) Yes ( ) No If provide details of such arrangements. (maximum 500 words) “Yes,” 100. Does your firm allow clients to pay your consulting fees using the client’s brokerage commissions? ( ) Yes ( ) No If do you monitor the amount of commissions paid and plans when consulting fees have “Yes,” been paid in full? ( ) Yes
97. Does your firm charge your clients a fee to be invested in those funds (i.e., fees in addition to the fees you charge for your non-discretionary or discretionary consulting services)? ( ) Yes ( ) No If “Yes,” how does your firm mitigate the potential for conflicts of interest with respect to recommending such investment funds to clients? (maximum 500 words) 98. Does your firm or a related company receive revenue or have relationships with managers that you recommend, consider for recommendation, or otherwise mention to your clients? ( ) Yes ( ) No Describe those relationships. (maximum 500 words) Indicate the nature of the revenue received. Databases ( ) Client Referrals ( ) Conferences ( ) Broker Commissions ( ) Software ( ) Consulting ( ) Other ( ) If “Other,” specify. How do your policies or procedures address conflicts of interest or prevent the above payments or relationships from being a factor when you provide advice to your clients? (maximum 500 words) 99. Does your firm or any affiliate enter into soft-dollar arrangements? ( ) Yes ( ) No If “Yes,” provide details of such arrangements. (maximum 500 words) 100. Does your firm allow clients to pay your consulting fees using the client’s brokerage commissions? ( ) Yes ( ) No If “Yes,” do you monitor the amount of commissions paid and plans when consulting fees have been paid in full? ( ) Yes
SC-IA-RFP-Questionnaire.docx