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Is a solicitor required to provide a client with a separate written solicitor disclosure when the registered investment adviser firm gives impersonal advisory services?


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Is a solicitor required to provide a client with a separate written solicitor disclosure when the registered investment adviser firm gives impersonal advisory services?

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No, a solicitor is not required to provide a client with a separate written solicitor disclosure when the registered investment adviser firm only provides investment advisory services that are not personalized to the specific client or otherwise purports to meet the objectives or needs of the specific client.

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