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The advisor shall exercise his/her best efforts to act in good faith and in the best interests of the client. The
advisor shall provide written disclosure to the client prior to the engagement of the advisor, and thereafter throughout the term of the engagement, of any conflicts of interest which will or reasonably may
compromise the impartiality or independence of the advisor.
The advisor, or any party, in which the advisor has a financial
interest, does not receive any compensation or
other remuneration that is contingent on any client’s purchase or sale of a financial product. The advisor does not receive a referral fee or other compensation from another party based on the referral of a client
or the client’s business..
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