Title: Understanding the California Participation Agreement between First American Ins. Portfolios, Inc. and SET Investments Distribution Co. Introduction: A California Participation Agreement is a legal contract that outlines the terms and conditions under which First American Ins. Portfolios, Inc. (FA IPI) and SET Investments Distribution Co. (SET) engage in a collaborative arrangement. This agreement serves as a framework for their partnership and enhances the distribution and management of investment portfolios within the state of California. In this article, we will delve into the details of this agreement, its importance, and explore any potential variations or types that may exist. Key Points: 1. Purpose and Scope: — The California Participation Agreement facilitates the distribution and offering of investment portfolios by FA IPI through SET's distribution network within California. — It establishes a shared responsibility ensuring adherence to compliance requirements, regulatory policies, and applicable laws. — The agreement encompasses the guidelines for the marketing, promotion, and sale of investment portfolios in California. 2. Roles and Responsibilities: FA IPIPI: As the portfolio manager, FAIPI is primarily responsible for overseeing portfolio management, conducting due diligence, and maintaining portfolio performance. SETEI: Acting as the distributor, SEI assumes the responsibility of marketing, providing sales support, handling client relationships, and facilitating distribution operations within California. 3. Compliance and Regulatory Aspects: — The California Participation Agreement necessitates both FA IPI and SET to comply with state and federal regulations concerning investment products and services. — It addresses the requirements imposed by regulatory bodies such as the California Department of Financial Protection and Innovation (DPI) and the Securities and Exchange Commission (SEC). 4. Revenue Sharing and Compensation: — The agreement outlines the terms of revenue sharing and compensation arrangements between FA IPI and SET, including fee structures, commission rates, and how profits are distributed. 5. Confidentiality and Intellectual Property: — Both parties commit to protecting confidential information shared during the course of their collaboration. — Intellectual property ownership and usage rights are defined to avoid any conflicts or unauthorized utilization of proprietary material. Types or Variations of California Participation Agreement: While specific types or variations of the California Participation Agreement between FA IPI and SET may exist, they are not typically explicitly disclosed. The agreement may instead contain tailored provisions and clauses based on the nature of the investment portfolios, targeted client base, or specific marketing strategies employed. Conclusion: The California Participation Agreement between First American Ins. Portfolios, Inc. and SET Investments Distribution Co. enables the efficient distribution and effective management of investment portfolios within California. By establishing clear roles, responsibilities, compliance standards, and compensation arrangements, this agreement ensures a collaborative and mutually beneficial partnership for both entities involved.
California Participation Agreement between First American Ins. Portfolios, Inc., SEI Investments Distribution Co.
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