California Distribution Agreement between Ingenuity Capital Management, LLC and Rafferty Capital Markets

• Category: Corporations - Public - Distribution
• State: Multi-State
• Control #: US-EG-9180
• Format: Word; Rich Text

Description

Distribution Agreement between Ingenuity Capital Management, LLC and Rafferty Capital Markets dated 00/99. 6 pages The California Distribution Agreement between Ingenuity Capital Management, LLC and Daugherty Capital Markets is a legal contract that outlines the terms and conditions governing the distribution of financial products and services offered by Ingenuity Capital Management in the state of California through the assistance of Daugherty Capital Markets. This agreement serves as a framework for the partnership between the two entities, ensuring a smooth and compliant distribution process. It establishes the roles and responsibilities of each party, as well as the rules and regulations that need to be followed. Under this agreement, Ingenuity Capital Management authorizes Daugherty Capital Markets to distribute its financial products and services to clients in California. Daugherty Capital Markets acts as a registered representative or broker-dealer, facilitating the sale and offering information to clients regarding the products and services provided by Ingenuity Capital Management. The key elements and relevant keywords associated with this California Distribution Agreement include: 1. Distribution Rights: Specifies the authorized distribution rights granted to Daugherty Capital Markets by Ingenuity Capital Management, allowing them to offer and sell financial products and services in California. 2. Compliance: Details the compliance and regulatory requirements that both parties must adhere to, ensuring that all applicable laws and regulations are followed during the distribution process. 3. Compensation: Outlines the compensation structure for Daugherty Capital Markets, including any commissions, fees, or incentives provided by Ingenuity Capital Management for successfully distributing its products and services in California. 4. Termination: Describes the circumstances under which either party can terminate the agreement, such as a breach of terms, non-performance, or expiration of the agreement's term. 5. Confidentiality: Addresses the confidentiality of any proprietary or sensitive information shared between the parties during the course of the agreement, aiming to protect trade secrets and client privacy. 6. Marketing and Promotion: Specifies the marketing and promotional activities allowed within the agreement, ensuring compliance with applicable advertising and marketing regulations. 7. Client Protection: Emphasizes the need to prioritize client protection by providing accurate information, complying with suitability standards, and following best practices in customer service. Different types of California Distribution Agreements between Ingenuity Capital Management, LLC and Daugherty Capital Markets may include variations based on factors such as the specific financial products or services being distributed, the target market within California, or specific performance metrics for Daugherty Capital Markets. These variations may result in different compensation structures, compliance requirements, and distribution rights tailored to meet the unique needs of different financial offerings or client segments.

The California Distribution Agreement between Ingenuity Capital Management, LLC and Daugherty Capital Markets is a legal contract that outlines the terms and conditions governing the distribution of financial products and services offered by Ingenuity Capital Management in the state of California through the assistance of Daugherty Capital Markets. This agreement serves as a framework for the partnership between the two entities, ensuring a smooth and compliant distribution process. It establishes the roles and responsibilities of each party, as well as the rules and regulations that need to be followed. Under this agreement, Ingenuity Capital Management authorizes Daugherty Capital Markets to distribute its financial products and services to clients in California. Daugherty Capital Markets acts as a registered representative or broker-dealer, facilitating the sale and offering information to clients regarding the products and services provided by Ingenuity Capital Management. The key elements and relevant keywords associated with this California Distribution Agreement include: 1. Distribution Rights: Specifies the authorized distribution rights granted to Daugherty Capital Markets by Ingenuity Capital Management, allowing them to offer and sell financial products and services in California. 2. Compliance: Details the compliance and regulatory requirements that both parties must adhere to, ensuring that all applicable laws and regulations are followed during the distribution process. 3. Compensation: Outlines the compensation structure for Daugherty Capital Markets, including any commissions, fees, or incentives provided by Ingenuity Capital Management for successfully distributing its products and services in California. 4. Termination: Describes the circumstances under which either party can terminate the agreement, such as a breach of terms, non-performance, or expiration of the agreement's term. 5. Confidentiality: Addresses the confidentiality of any proprietary or sensitive information shared between the parties during the course of the agreement, aiming to protect trade secrets and client privacy. 6. Marketing and Promotion: Specifies the marketing and promotional activities allowed within the agreement, ensuring compliance with applicable advertising and marketing regulations. 7. Client Protection: Emphasizes the need to prioritize client protection by providing accurate information, complying with suitability standards, and following best practices in customer service. Different types of California Distribution Agreements between Ingenuity Capital Management, LLC and Daugherty Capital Markets may include variations based on factors such as the specific financial products or services being distributed, the target market within California, or specific performance metrics for Daugherty Capital Markets. These variations may result in different compensation structures, compliance requirements, and distribution rights tailored to meet the unique needs of different financial offerings or client segments.