Riverside California Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc.

• Category: Corporations - Public
• State: Multi-State
• County: Riverside
• Control #: US-EG-9320
• Format: Word; Rich Text

Description

Selected Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. regarding the sale of shares dated January, 2000. 3 pages. Riverside California Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. is a legally binding contract that outlines the terms and conditions agreed upon by both parties for the sale and purchase of financial products. This agreement is specifically tailored to the Riverside, California region and involves Active Assets Premier Money Trust, a well-known financial institution, and Morgan Stanley Dean Witter Advisors, Inc., a reputable investment management firm. The primary objective of this agreement is to establish a mutually beneficial relationship between the two entities, enabling Active Assets Premier Money Trust to act as a dealer for the financial products offered by Morgan Stanley Dean Witter Advisors, Inc. The agreement covers a range of important aspects, including the scope of the relationship, responsibilities and obligations of each party, and the terms and conditions governing the sale and purchase of financial products. Some key elements covered in this Riverside California Dealers Agreement include: 1. Authorized Dealer Status: The agreement outlines Active Assets Premier Money Trust's authorization to act as an official dealer for Morgan Stanley Dean Witter Advisors, Inc. within the Riverside, California area. This enables them to market, sell, and distribute the financial products offered by Morgan Stanley Dean Witter Advisors, Inc. to clients in this specific region. 2. Product Offering: The agreement specifies the range of financial products that Active Assets Premier Money Trust is permitted to sell on behalf of Morgan Stanley Dean Witter Advisors, Inc. This may include various investment instruments such as mutual funds, stocks, bonds, and other securities. The document may further classify specific types of financial products covered by the agreement. 3. Sales Process and Marketing: The agreement details the procedures and guidelines related to the sales process, including marketing strategies, client prospecting, and customer acquisition techniques. It may highlight any branding requirements or promotional activities necessary to present the financial products accurately and effectively to potential clients. 4. Compliance and Regulations: As an essential component, the agreement ensures compliance with all relevant laws, regulations, and industry standards governing financial transactions and investment advisory services. Both parties commit to operating within the legal framework and provide transparency to clients regarding any regulatory requirements. 5. Compensation and Fees: The agreement outlines the compensation structure established between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. This includes details on commission percentages or fee structures applicable to the sale of financial products, ensuring a fair and lucrative arrangement for both parties. 6. Termination and Dispute Resolution: The agreement also covers provisions related to termination of the agreement, including circumstances, notice periods, and any applicable penalties or consequences arising from the termination. Additionally, a mechanism for dispute resolution and arbitration may also be included to address any potential conflicts between the parties. It is important to note that while this description provides a general overview of a Riverside California Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc., specific terms and conditions may vary based on the agreement negotiated by the two parties, the prevailing market conditions, and legal requirements.

Riverside California Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. is a legally binding contract that outlines the terms and conditions agreed upon by both parties for the sale and purchase of financial products. This agreement is specifically tailored to the Riverside, California region and involves Active Assets Premier Money Trust, a well-known financial institution, and Morgan Stanley Dean Witter Advisors, Inc., a reputable investment management firm. The primary objective of this agreement is to establish a mutually beneficial relationship between the two entities, enabling Active Assets Premier Money Trust to act as a dealer for the financial products offered by Morgan Stanley Dean Witter Advisors, Inc. The agreement covers a range of important aspects, including the scope of the relationship, responsibilities and obligations of each party, and the terms and conditions governing the sale and purchase of financial products. Some key elements covered in this Riverside California Dealers Agreement include: 1. Authorized Dealer Status: The agreement outlines Active Assets Premier Money Trust's authorization to act as an official dealer for Morgan Stanley Dean Witter Advisors, Inc. within the Riverside, California area. This enables them to market, sell, and distribute the financial products offered by Morgan Stanley Dean Witter Advisors, Inc. to clients in this specific region. 2. Product Offering: The agreement specifies the range of financial products that Active Assets Premier Money Trust is permitted to sell on behalf of Morgan Stanley Dean Witter Advisors, Inc. This may include various investment instruments such as mutual funds, stocks, bonds, and other securities. The document may further classify specific types of financial products covered by the agreement. 3. Sales Process and Marketing: The agreement details the procedures and guidelines related to the sales process, including marketing strategies, client prospecting, and customer acquisition techniques. It may highlight any branding requirements or promotional activities necessary to present the financial products accurately and effectively to potential clients. 4. Compliance and Regulations: As an essential component, the agreement ensures compliance with all relevant laws, regulations, and industry standards governing financial transactions and investment advisory services. Both parties commit to operating within the legal framework and provide transparency to clients regarding any regulatory requirements. 5. Compensation and Fees: The agreement outlines the compensation structure established between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc. This includes details on commission percentages or fee structures applicable to the sale of financial products, ensuring a fair and lucrative arrangement for both parties. 6. Termination and Dispute Resolution: The agreement also covers provisions related to termination of the agreement, including circumstances, notice periods, and any applicable penalties or consequences arising from the termination. Additionally, a mechanism for dispute resolution and arbitration may also be included to address any potential conflicts between the parties. It is important to note that while this description provides a general overview of a Riverside California Dealers Agreement between Active Assets Premier Money Trust and Morgan Stanley Dean Witter Advisors, Inc., specific terms and conditions may vary based on the agreement negotiated by the two parties, the prevailing market conditions, and legal requirements.