Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company

• Category: Corporations - Public - Services
• State: Multi-State
• Control #: US-EG-9322
• Format: Word; Rich Text

Description

Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company, Inc. regarding the performance of administrative services dated June 22, 1998. 4 pages. Title: Understanding the Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company Introduction: In Kansas, the service agreement between Morgan Stanley Dean Witter Advisors, Inc. (MSW Advisors) and Morgan Stanley Dean Witter Services Company (MSW Services) plays a crucial role in defining the terms, conditions, and obligations governing their business relationship. This comprehensive guide provides a detailed description of the Kansas Service Agreement, emphasizing its significance and key clauses. 1. Overview of the Kansas Service Agreement: The Kansas Service Agreement represents a legal document that outlines the provisions regarding the services provided by MSW Advisors, a registered investment advisor, to clients through the support of MSW Services, a registered broker-dealer. The agreement establishes the working relationship between these entities, ensuring transparency, compliance, and efficient operations. 2. Purpose and Objectives: The Kansas Service Agreement between MSW Advisors and MSW Services aims to establish a cooperative framework for offering client services within the state. By setting clear goals, rights, and responsibilities, this agreement ensures a cohesive and efficient approach to wealth management, financial planning, and other related services. 3. Scope of Services: The service agreement encompasses a wide range of offerings, including but not limited to financial consulting, investment management, retirement planning, estate planning, tax advisory, and asset allocation strategies. This ensures that clients receive comprehensive and personalized financial solutions tailored to their unique needs and goals. 4. Fee Structure and Compensation: The Kansas Service Agreement delineates the fee structure, compensation, and billing methods involved in the provision of services. This section clarifies the charges associated with the services rendered, such as advisory fees, trading fees, custody fees, and other applicable expenses, ensuring transparency and aligning the interests of the parties involved. 5. Client Responsibilities: The agreement outlines the obligations and responsibilities of the clients during the contractual period. These may include timely provision of accurate information, cooperation, adherence to investment and risk management strategies, and communication procedures. Client responsibilities facilitate a collaborative approach towards achieving financial objectives. 6. Compliance and Regulatory Framework: Kansas Service Agreements adhere to federal and state securities laws, regulations, and industry best practices. The agreement ensures full compliance with the Securities and Exchange Commission (SEC) rules, Financial Industry Regulatory Authority (FINRA) requirements, and Kansas-based regulatory bodies, safeguarding the interests of clients and maintaining ethical standards. 7. Additional Types of Kansas Service Agreements: While the specifics of each agreement may differ, the main types of Kansas Service Agreements between MSW Advisors and MSW Services may include Individual Service Agreements, Corporate Service Agreements, Trust Service Agreements, and Organizational Retirement Service Agreements. Each agreement type is tailored to address the specific needs of different client categories. Conclusion: The Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company ensures clarity, transparency, and regulatory compliance in delivering financial services to clients. Through this comprehensive agreement, clients can have confidence in the professional management of their assets, while the parties involved maintain a robust business relationship based on mutual trust and shared objectives.

Title: Understanding the Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company Introduction: In Kansas, the service agreement between Morgan Stanley Dean Witter Advisors, Inc. (MSW Advisors) and Morgan Stanley Dean Witter Services Company (MSW Services) plays a crucial role in defining the terms, conditions, and obligations governing their business relationship. This comprehensive guide provides a detailed description of the Kansas Service Agreement, emphasizing its significance and key clauses. 1. Overview of the Kansas Service Agreement: The Kansas Service Agreement represents a legal document that outlines the provisions regarding the services provided by MSW Advisors, a registered investment advisor, to clients through the support of MSW Services, a registered broker-dealer. The agreement establishes the working relationship between these entities, ensuring transparency, compliance, and efficient operations. 2. Purpose and Objectives: The Kansas Service Agreement between MSW Advisors and MSW Services aims to establish a cooperative framework for offering client services within the state. By setting clear goals, rights, and responsibilities, this agreement ensures a cohesive and efficient approach to wealth management, financial planning, and other related services. 3. Scope of Services: The service agreement encompasses a wide range of offerings, including but not limited to financial consulting, investment management, retirement planning, estate planning, tax advisory, and asset allocation strategies. This ensures that clients receive comprehensive and personalized financial solutions tailored to their unique needs and goals. 4. Fee Structure and Compensation: The Kansas Service Agreement delineates the fee structure, compensation, and billing methods involved in the provision of services. This section clarifies the charges associated with the services rendered, such as advisory fees, trading fees, custody fees, and other applicable expenses, ensuring transparency and aligning the interests of the parties involved. 5. Client Responsibilities: The agreement outlines the obligations and responsibilities of the clients during the contractual period. These may include timely provision of accurate information, cooperation, adherence to investment and risk management strategies, and communication procedures. Client responsibilities facilitate a collaborative approach towards achieving financial objectives. 6. Compliance and Regulatory Framework: Kansas Service Agreements adhere to federal and state securities laws, regulations, and industry best practices. The agreement ensures full compliance with the Securities and Exchange Commission (SEC) rules, Financial Industry Regulatory Authority (FINRA) requirements, and Kansas-based regulatory bodies, safeguarding the interests of clients and maintaining ethical standards. 7. Additional Types of Kansas Service Agreements: While the specifics of each agreement may differ, the main types of Kansas Service Agreements between MSW Advisors and MSW Services may include Individual Service Agreements, Corporate Service Agreements, Trust Service Agreements, and Organizational Retirement Service Agreements. Each agreement type is tailored to address the specific needs of different client categories. Conclusion: The Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company ensures clarity, transparency, and regulatory compliance in delivering financial services to clients. Through this comprehensive agreement, clients can have confidence in the professional management of their assets, while the parties involved maintain a robust business relationship based on mutual trust and shared objectives.