Investment Advisory Contract Assignment Real Estate

This Topical Reference Guide is not an exhaustive list of Commission action, staff guidance or other staff information pertaining to a particular topic. The Division will continue to update these topics with new and historical materials and by uploading staff no-action letters that also can be accessed here.


Topics

Accounting and Auditing

  • Laws and Regulations
  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Fidelity Management & Research Company et al. (September 22, 2017)
      • Fidelity Management & Research Company et al. (June 20, 2016)
      • Carey Credit Income Fund et al. (July 15, 2015)
      • Robert Van Grover, Esq., Seward & Kissel LLP (November 5, 2013)
      • Copley (August 2, 2013)
      • Copley (June 18, 2013)
      • Copley (April 5, 2013)
      • Investment Company Institute (September 5, 2012)
      • Seward & Kissel (July 21, 2011)
      • American Institute of Certified Public Accountants (December 23, 2010)
      • Seward & Kissell (October 12, 2010)
      • ABA Retirement Funds Program (June 27, 2010)
      • Fidelity Gold Portfolio (April 29, 2008)
      • NGP Capital Resources (December 28, 2007)
      • Deloitte (August 28, 2006)
      • ABA Subcommittee on Private Investment Entities (December 8, 2005)
    • FAQ
    • Dear Chief Financial Officer Letters
      • From the Chief Accountant, Letter to CFOs (February 14, 2001)
      • From the Chief Accountant, Letter to CFOs (December 30, 1999)
      • From the Chief Accountant, Letter to CFOs (December 30, 1998)
      • From the Chief Accountant, Letter to CFOs (November 7, 1997)
      • From the Chief Accountant, Letter to CFOs (November 1, 1996)
      • From the Chief Accountant, Letter to CFOs (November 2, 1995)
      • From the Chief Accountant, Letter to CFOs (February 3, 1995)
      • From the Chief Accountant, Letter to CFOs (November 1, 1994)
    • Staff Accounting Bulletins
    • Other Guidance
      • IM Guidance Update (Guidance Regarding Investment Company Consolidation) (October 31, 2014)
      • IM Guidance Update (Guidance Regarding Business Development Companies - Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries ) (September 27, 2013)
      • After-Tax Return (February 22, 2013)
      • Guidance for Consulting with the Office of the Chief Accountant (December 18, 2012)
      • Business Development Companies- Auditor Verification of Securities Owned(March 12, 2012)
      • Derivatives-Related Disclosures by Investment Companies (July 30, 2010)
      • Office of the Chief Accountant and FASB Staff Clarifications on Fair Value Accounting (September 30, 2008)
      • Implementation of FASB Interpretation No. 48, Letter to Fidelity Investments, Massachusetts Financial Services Company and OppenheimerFunds, Inc. (June 28, 2007)
      • Implementation of FASB Interpretation No. 48, Letter to ICI (December 22, 2006)
      • Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff Letters (March 8, 2005)

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Advertising/Performance/Social Media

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Redwood Trust, Inc. , October 16, 2017
      • ABA Subcommittee on Private Investment Entities (August 10, 2006)
      • Franklin Management, Inc. (December 10, 1998)
      • DALBAR, Inc. (March 24, 1998)
      • GE Funds (February 7, 1997)
      • Clover Capital Management, Inc. (October 28, 1986)
    • FAQ
    • Other Guidance

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Advisory Contract/Fees – Investment Adviser

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Advisory Contract/Fees – Investment Company

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Nuveen Fund Advisors, LLC, June 20, 2017
      • American Century Investment Management, Inc. (December 20, 2016)
      • RiverNorth (July 28, 2014)
      • RS Global Natural Resources Fund (March 6, 2014)
      • Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust(February 27, 2013)
      • Claymore Advisors, LLC (April 27, 2010)
      • Franklin Templeton Investments (June 19, 2009)
      • Fortis Group, et al. (January 27, 2009)
      • First Trust/Gallatin Specialty Finance and Financial Opportunities Fund (July 11, 2008)
      • Citigroup Inc. (July 26, 2006)
      • Eaton Vance Special Investment Trust, et al (March 30, 2004)
      • Gartmore Mutual Funds (March 19, 2004)
      • Constellation Financial Management LLC (January 9, 2003)
      • The Chase Manhattan Bank (July 24, 2001)
      • Daughters of Charity National Health System, Inc. (April 3, 1998)
      • Franklin Templeton Group of Funds (July 23, 1997)
      • Century Shares Trust (May 4, 1994)
      • Dean Witter, Discover & Co. (February 8, 1993)
    • FAQ
    • Other Guidance

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Affiliated Transactions/Joint Transactions

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Mutual of America Capital Management LLC, (October 26, 2017)
      • Russell Investment Management, LLC, (December 16, 2016)
      • Fifth Street Finance Corp. (February 25, 2010)
      • Allianz Funds (August 3, 2009)
      • Columbia Funds Series Trust – Columbia Cash Reserves (March 2, 2009)
      • Columbia Funds Series Trust – Columbia Money Market Reserves (March 2, 2009)
      • Columbia Funds, et al. (December 23, 2008)
      • Dreyfus Cash Management Plus (October 20, 2008)
      • Dreyfus Cash Management, et al. (September 25, 2008)
      • Goldman Sachs Trust (August 19, 2008)
      • Columbia Funds Series Trust (October 22, 2008)
      • Advantus Series Fund (October 20, 2008)
      • Dreyfus Money Funds (October 20, 2008)
      • Allianz Dresdner Daily Asset Fund (May 5, 2008)
      • First American Funds, Inc. – Prime Obligation Fund (December 3, 2007)
      • Gartmore Variable Insurance Trust (December 29, 2006)
      • GuideStone Financial, et al. (December 27, 2006)
      • Federated Municipal Funds (November 20, 2006)
      • Citigroup Global Markets, Inc. (September 26, 2006)
      • Citigroup Inc. (July 26, 2006)
      • GE Institutional Funds (December 21, 2005)
      • Evergreen Investment Management Company LLC (October 11, 2005)
      • GE Life and Annuity Assurance Company (June 25, 2004)
      • AAL Mutual Funds, et al. (December 12, 2002)
      • Evergreen Investment Management Company, LLC (February 13, 2002)
      • AIM Advisors, Inc. (February 12, 2002)
      • Government Securities Clearing Corporation (October 19, 2001)
      • Calvert Social Index Fund (September 24, 2001)
      • The Chase Manhattan Bank (July 24, 2001)
      • Massachusetts Mutual Life (July 28, 2000)
      • Massachusetts Mutual Life (June 7, 2000)
      • Drinker, Biddle & Reath (December 18, 1998)
      • The Eaton Vance Group of Investment Companies (July 25, 1997)
      • Alliance Funds (April 25, 1997)
      • Dean Witter World Wide Investment Trust (September 17, 1996)
      • Dreyfus Asset Allocation Fund, Inc. (June 14, 1996)
      • Financial Services Board (April 24, 1996)
      • DFA Investment Trust (March 21, 1996)
      • DFA Investment Trust Company (October 17, 1995)
      • ACM Institutional Reserves, Inc. (July 14, 1995)
      • Alliance Municipal Trust (July 14, 1995)
      • California Municipal Cash Trust (July 11, 1995)
      • Chief Financial Officer (November 1, 1994)
      • Federated Investors (April 21, 1994)
      • The Capitol Mutual Funds and Nations Fund Trust (February 24, 1994)
      • Defined Asset Funds – Equity Income Fund – Select Ten Series (May 5, 1993)
    • FAQ
    • Other Guidance

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Anti-Money Laundering

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
    • Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association (January 11, 2011)
    • FINCEN Final Rule: Amendment to the Bank Secrecy Act Regulations; Defining Mutual Funds as Financial Institutions (April 14, 2010)
    • Joint Release; Guidance on Obtaining and Retaining Beneficial Ownership Information (March 5, 2010)
    • Anti-Money Laundering (AML) Source Tool for Broker-Dealers (January 14, 2010)
    • Anti-Money Laundering (AML) Source Tool for Mutual Funds (January 14, 2010)
    • Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association (January 11, 2010)
    • Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association, extending February 12, 2004 letter (January 10, 2008)
    • Financial Crimes Enforcement Network; Requests by Law Enforcement for Financial Institutions to Maintain Accounts, U.S. Treasury guidance (June 13, 2007)
    • Financial Crimes Enforcement Network; Suspicious Activity Report Supporting Documentation, U.S. Treasury guidance (June 13, 2007)
    • FinCEN Delays Implementation of Revised Suspicious Activity Report (SAR) Forms, FinCEN press release (April 26, 2007)
    • Frequently Asked Questions; Suspicious Activity Reporting Requirements for Mutual Funds, U.S. Treasury guidance (October 4, 2006)
    • Trading and Markets No-Action Letter: Securities Industry Association, extending further February 12, 2004 letter (July 11, 2006)
    • Application of the Regulations regarding Special Due Diligence Programs for Certain Foreign Accounts to NSCC Fund/SERV Accounts, U.S. Treasury guidance (May 3, 2006)
    • Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations - Requirement That Mutual Funds Report Suspicious Transactions, U.S. Treasury Rulemaking (April 27, 2006)
    • Question and Answer Regarding Broker-Dealer Customer Identification Rule (31 CFR 103.122) Responsibilities under the Agency Lending Disclosure Initiative(April 26, 2006)
    • Trading and Markets No-Action Letter: Securities Industry Association, extending February 12, 2004 letter (February 10, 2005)
    • Trading and Markets No-Action Letter: Securities Industry Association (February 12, 2004)
    • Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (October 1, 2003)
    • Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule (August 11, 2003)
    • Customer Identification Programs for Mutual Funds (April 29, 2003)
    • Report to Congress under the USA PATRIOT Act containing recommendations for applying anti-money laundering controls to investment companies, Joint Report of the SEC, U.S. Treasury and the Board of Governors of the Federal Reserve System (December 31, 2002)
    • SEC-SIA Anti-Money Laundering Webcast Scheduled for Monday, November 25, 2002 (October 18, 2002)
    • Proposed Amendment to the Bank Secrecy Act Rules — Requirement That Insurance Companies Report Suspicious Transactions, U.S. Treasury Rulemaking (October 17, 2002)
    • Proposed Amendment to the Bank Secrecy Act Rules — Anti-Money Laundering Programs for Unregistered Investment Companies, U.S. Treasury Rulemaking (September 26, 2002)
    • Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Broker-Dealers, Joint SEC and U.S. Treasury rulemaking (July 23, 2002)
    • Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Mutual Funds, Joint SEC and U.S. Treasury rulemaking (July 23, 2002)
    • Amendment to the Bank Secrecy Act Rules — Requirement that Brokers or Dealers in Securities Report Suspicious Transactions, U.S. Treasury Final Rule (July 1, 2002)
    • Proposed Rule — Due Diligence Anti-Money Laundering Programs for Certain Foreign Accounts Implementing Section 312 of the USA PATRIOT ACT, U.S. Treasury Rulemaking (May 30, 2002)
    • Anti-Money Laundering Programs for Mutual Funds, U.S. Treasury rulemaking (April 24, 2002)
    • Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs, NASD and NYSE Rulemaking (April 22, 2002)
    • Proposed Amendment to the Bank Secrecy Act — Requirement of Brokers or Dealers in Securities to Report Suspicious Transactions, U.S. Treasury rulemaking (December 21, 2001)
  • Rulemaking
  • Staff Guidance

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Asset-Backed Securities Issuers

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Franklin Templeton Investments (June 19, 2009)
      • Credit Suisse First Boston (September 9, 1998)
      • Nebraska Higher Education Loan Program Inc. (April 4, 1998)
      • Federated Investors (July 8, 1997)
      • ESI S.A. (February 2, 1995)
      • Global Exempt Certificates of Ownership in NHA MBS Securities Inc.(December 30, 1994)
      • Donaldson, Lufkin & Jenrette Securities Corporation (May 26, 1994)
      • Brown & Wood (February 24, 1994)
    • FAQ
    • Other Guidance

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Assignment

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
    • FAQ
    • Other Guidance

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Business Development Companies

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
    • FAQ
    • Other Guidance

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Closed-End Funds

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Eagle Point Credit Company Inc.  (February 14, 2018)
      • PIMCO Dynamic Income Fund  (December 12, 2017)
      • Nuveen California Select Tax-Free Income Portfolio, (November 21, 2017)
      • Nuveen Municipal Income Fund, Inc. et al. (July 27, 2017)
      • Ironwood Multi-Strategy Fund LLC and Ironwood Institutional Multi-Strategy Fund LLC (April 19, 2017)
      • Guggenheim Credit Allocation Fund, (April 5, 2017) 
      • Invesco Senior Income Trust, et al., (January 25, 2017)
      • The Herzfeld Caribbean Basin Fund, Inc. (September 21, 2016)
      • BlackRock Health Sciences Trust, (February 25, 2016)
      • Fiduciary/Claymore MLP Opportunity Fund (January 7, 2016)
      • Nuveen Credit Strategies Income Fund, et al. (November 7, 2014)
      • Guggenheim Strategic Opportunities Fund (October 2, 2014)
      • The Gabelli Convertible & Income Securities Fund, Inc., et al. (April 18, 2014)
      • The Mexico Fund, Inc. (December 31, 2013)
      • Aberdeen Asia-Pacific Income Fund, Inc. (June 26, 2013)
      • Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. (June 26, 2013)
      • Eaton Vance, et al. (June 26, 2013)
      • First Trust, et al. (June 26, 2013)
      • John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund (June 26, 2013)
      • NexPoint Credit Strategies Fund (June 26, 2013)
      • Nuveen, et al. (June 26, 2013)
      • Aberdeen Australia Equity Fund, Inc., Aberdeen Chile Fund, Inc. and Aberdeen Global Income Fund, Inc. (April 12, 2012)
      • FQF Trust, et al. (December 13, 2011)
      • Franklin Templeton Investments (June 19, 2009)
      • Aberdeen Australia Equity Fund, Inc. (July 13, 2006)
      • College and University Facility Loan Trust One, et al. (November 29, 2004)
      • France Growth Fund, Inc. (July 15, 2003)
      • Frank Russell Investment Company, et al. (October 18, 2002)
      • Dessauer Global Equity Fund (April 3, 1997)
    • FAQ
    • Other Guidance

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Code of Ethics

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Commodities

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Compliance – Investment Companies

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Nuveen Fund Advisors, LLC, June 20, 2017
      • Claymore Advisors, LLC (April 27, 2010)
      • Cabot Wellington, LLC (June 17, 2008)
      • Cooley Godward & Kronish (July 12, 2007)
      • College and University Facility Loan Trust One, et al. (November 29, 2004)
      • Cantor Fitzgerald & Company (February 17, 2004)
      • Calvert Social Index Fund (September 24, 2001)
      • GE Funds (February 7, 1997)
      • Cornish & Carey Commercial Inc. (February 26, 1996)
      • Caxton Corporation (December 28, 1994)
    • FAQ
    • Other Guidance
      • Business Continuity Planning for Registered Investment Companies (June 28, 2016)
      • Cybersecurity Guidance (April 28, 2015)
      • Series Investment Companies:  Affiliated Transactions (June 6, 2014)
      • Shareholder Notices of the Sources of Fund Distributions - Electronic Delivery(November 7, 2013)
      • IM Guidance Update (Compliance With Exemptive Orders) (May 10, 2013)
      • Affiliated Funds of Funds — Section 12(d)(1) of the Investment Company Act(October 19, 2012)
      • Advisory Contracts — Combined Investment Advisory and Service Fees(October 5, 2012)
      • Funds Using Tender Option Bond (TOB) Financings (March 29, 2012)
      • Rule 18f-3 under the Investment Company Act — Removal of a Class(September 2, 2010)
      • Funds Use of Rule 22c-2 Information for Marketing Purposes, Letter to ICI(August 21, 2007)
      • Disclosure by Funds Investing in Government Sponsored Enterprises, Letter to ICI (October 17, 2003)
      • Delayed Exchange of Fund Shares, Letter to ICI (November 13, 2002)
      • Frequently Asked Questions About Mutual Fund After-Tax Return Requirements(January 14, 2002)
      • Form N-1A and Rule 498, Letter to the ICI (October 2, 1998)
      • Form N-1A and Rule 498, Letter to ICI (May 19, 1998)

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Credit Ratings

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Custody – Investment Adviser

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Investment Adviser Association (February 21, 2017)
      • Robert Van Grover, Esq., Seward & Kissel LLP (October 4, 2016)
      • Investment Adviser Association (April 25, 2016)
      • 16th Amendment Advisors LLC (March 23, 2015)
      • Robert Van Grover, Esq., Seward & Kissel LLP (November 5, 2013)
      • Deloitte & Touche LLP (August 28, 2006)
      • ABA Subcommittee on Private Investment Entities (August 10, 2006)
    • FAQ
    • Other Guidance

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Custody – Investment Company

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Chicago Mercantile Exchange, December 19, 2017
      • ICE Clear Credit LLC, December 19, 2017
      • LCH Limited and LCH.Clearnet LLC, December 19, 2017
      • Depository Trust Company of Delaware, LLC dba Delaware Depository, September 12, 2016
      • Chicago Mercantile Exchange, December 29, 2015
      • ICE Clear Credit LLC, December 29, 2015
      • LCH.Clearnet Limited and LCH.Clearnet LLC, December 29, 2015
      • LCH.Clearnet Limited and LCH.Clearnet LLC, December 19, 2014
      • ICE Clear Credit LLC, December 19, 2014
      • Chicago Mercantile Exchange, December 19, 2014
      • The Brink's Company, February 11, 2014
      • Chicago Mercantile Exchange, December 26, 2013
      • ICE Clear Credit LLC, December 26, 2013
      • LCH.Clearnet Limited and LCH.Clearnet LLC, December 26, 2013
      • Chicago Mercantile Exchange (September 27, 2012)
      • Chicago Mercantile Exchange (September 27, 2012)
      • Chicago Mercantile Exchange (July 29, 2011)
      • Chicago Mercantile Exchange (July 29, 2011)
      • Chicago Mercantile Exchange (March 24, 2011)
      • CME Group, Inc. (December 3, 2010)
      • CME Group, Inc. (July 16, 2010)
      • Franklin Templeton Investments (June 19, 2009)
      • Franklin Templeton Investments (November 21, 2008)
      • Fixed Income Clearing Corporation (March 13, 2003)
      • Chase Manhattan Bank (June 12, 1998)
      • Depository Clearing Company (December 19, 1997)
      • Bucharest Stock Exchange (June 3, 1997)
      • Eaton Vance South Asia Portfolio, March 12, 1997
      • Financial Services Board (April 24, 1996)
      • The Canadian Depository for Securities Limited (August 4, 1994)
      • David S. Butterworth (January 27, 1994)
      • Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges (April 26, 1993)
    • FAQ
    • Other Guidance

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Cybersecurity

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
    • FAQ
    • Other Guidance

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Derivatives

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Distribution and Servicing Arrangements

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Emergencies

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
    • FAQ
    • Other Guidance

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Employee Benefit Plans/ERISA

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
      • Investment Company Institute, et al., (November 16, 2015)
      • American Retirement Association (February 18, 2015)
      • Invesco Advisers, Inc. (April 8, 2014)
      • ABA Retirement Funds (November 25, 2013)
      • Department of Labor (October 26, 2011)
      • General Motors Investment Management (February 20, 2000)
      • Department of Labor (December 5, 1995)
      • Edward H. Fleischman (June 30, 1994)
      • County of Los Angeles (January 27, 1993)
    • FAQ
    • Other Guidance

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Employee Securities Companies

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Exchange Traded Funds (ETFs)

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Family Offices

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Fidelity Bond and D&O Insurance

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No-Action and Interpretive Letters
    • FAQ
    • Other Guidance

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Form 13F

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Sample Business Contracts

Real Estate Investment Advisory Agreement - Kennedy Associates Real Estate Counsel Inc. and Riggs Bank NA

REAL ESTATE INVESTMENT ADVISORY AGREEMENT

     Kennedy Associates Real Estate Counsel, Inc. currently has a contractual service agreement with Riggs Bank, N.A. which is in effect and expires June 30, 2006 (the “Prior Agreement”).

     This Real Estate Investment Advisory Agreement (“Agreement”) by and between Kennedy Associates Real Estate Counsel, Inc. (“Kennedy”) and Riggs Bank N.A. (“Riggs”) is effective July 15, 2002. This Agreement supersedes and replaces the Prior Agreement. The Prior Agreement shall govern the compensation and indemnification of Kennedy for periods prior to July 15, 2002.

WITNESSETH:

     WHEREAS, Riggs is the trustee of the Riggs Bank N.A. Multi-Employer Property Trust (“Trust”) established and administered under the Amended and Restated Declaration of Trust dated October 6, 1996 (“Trust Agreement”);

     WHEREAS, the Trust is a common trust fund for the collective investment in real estate-related investments (“Real Estate Investments”) of assets of retirement, pension or similar plans (“Participating Plans”); and

     WHEREAS, Riggs has determined that it is in the best interest of the Trust to engage Kennedy to provide the services set forth in this Agreement with respect to the acquisition, management and disposition by the Trust of interests in real property.

 


 

     NOW THEREFORE, the parties hereto hereby agree as follows:

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     IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their duly authorized representatives as of the day and year first above written.

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