Sample Non-Discretionary Investment Advisory Agreement: Non-Erisa (Page 4 of 5) in pdf

Sample Non-Discretionary Investment Advisory Agreement: Non-Erisa Page 4

ARTICLE VI

CONFIDENTIALITY

Advisor acknowledges that all information and documents disclosed by Client to

Advisor, or which come to Advisor's attention during the course of its performance of

services under the Agreement, constitute valuable assets of and are proprietary to

Client. Advisor agrees not to disclose, either directly or indirectly, to any person,

firm, or corporation any confidential information unless the information is already in

the public domain or unless such disclosure is necessary in the operation of its

duties under this Agreement or is required to be disclosed by applicable law. This

provision shall survive the termination of this Agreement.

Client acknowledges

receipt of the Advisor's Privacy Statement which is attached as Exhibit C.

ARTICLE VII

NOTICE

Either party may terminate this Agreement by giving thirty (30) days' prior written

notice to the other at any time during the term of this Agreement. Any such notices

shall not affect any obligation incurred prior to the termination.

All notices or other communications shall be in writing and shall be delivered

personally or by fax, or sent by registered mail, return receipt requested. Notices

intended for Advisor shall be addressed to:

[FINANCIAL ADVISOR]

[ADDRESS]

[PHONE NUMBER]

Notices intended for Client shall be sent to the address provided by Client. Advisor

may rely upon any notice (written or oral) from any person that Advisor reasonably

believes to be genuine and authorized.

ARTICLE VIII

GENERAL PROVISIONS

This Agreement may not be assigned, nor may any obligations hereunder be

transferred or delegated, by either party without the prior written consent of the

other, except as provided under Article III(4).

Except as otherwise expressly provided herein, this Agreement shall not be

amended, nor shall any provision of this Agreement be considered modified or

waived, unless evidenced by writing signed by the party to be charged with such

amendment, waiver, or modification.

This Agreement shall be governed by and construed in accordance with the laws of

[STATE] and cannot be changed or terminated orally and shall inure to the benefit of

Sample Non-Discretionary Investment Advisory Agreement: Non-Erisa Page 4