Hawaii Administrative Rules
Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS
Chapter 38 - SECURITIES - REPEALED
Subchapter 12 - INVESTMENT ADVISER REPRESENTATIVES
Section 16-38-52 - Registration; disclosure statements

Universal Citation: HI Admin Rules 16-38-52
Current through August, 2024

Unless waived by the commissioner, every investment adviser representative of an investment adviser that is registered or required to be registered under chapter 485, HRS, shall, in accordance with the provisions of this section, furnish each advisory client or prospective advisory client with a written disclosure statement that is in compliance with the provisions of SEC rule 204-3 under the Investment Advisers Act of 1940 notwithstanding the fact that the investment adviser with which the representative is registered is not registered or required to be registered under the Investment Advisers Act of 1940. The delivery and updating of the disclosure statement required by this section shall be in accordance with the requirements of SEC rule 204-3.

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