Investment Advisers Act of 1940: Federal law that regulates investment advisers and their management fee structures. Must be considered if the agreement involves investment management services.
Securities Exchange Act of 1934: Federal law governing securities trading and broker-dealer relationships. Relevant if the management services involve securities transactions.
Internal Revenue Code: Federal tax legislation that determines the tax treatment and implications of management fees for both parties.
ERISA: Employee Retirement Income Security Act - Critical if the management services involve pension funds or retirement accounts.
State Contract Laws: State-specific legislation governing contract formation, enforcement, and interpretation.
State Securities Regulations: State-level rules and requirements for securities-related management services, often called 'Blue Sky Laws'.
State Licensing Requirements: State-specific professional and business licensing requirements for management service providers.
State Fiduciary Laws: State-specific regulations defining fiduciary duties and responsibilities in management relationships.
SEC Regulations: Securities and Exchange Commission rules governing management services, particularly in relation to investment management.
FINRA Requirements: Financial Industry Regulatory Authority rules applicable to securities-related management services.
Uniform Commercial Code: Standardized set of business laws governing commercial transactions, including certain aspects of service agreements.
Common Law Contract Principles: Established legal principles governing contract formation, interpretation, and enforcement based on court precedents.
Anti-Fraud Provisions: Federal and state laws designed to prevent fraudulent practices in management and business relationships.
Consumer Protection Laws: Federal and state legislation protecting consumer rights, applicable if management services are provided to individuals.
