Financial Adviser Hand Over

FINANCIAL ADVISER HAND OVER

Parties and Effective Date

Outgoing Adviser / Firm Name:

Outgoing Adviser Contact (address, phone, email):

Incoming Adviser / Firm Name:

Incoming Adviser Contact (address, phone, email):

Effective Date:

Recitals

This Financial Adviser Hand Over ("Hand Over") documents the transfer of client relationships, records, accounts and related advisory responsibilities from the Outgoing Adviser to the Incoming Adviser as of the Effective Date above. The parties set out the inventory, outstanding actions, certifications, and obligations required to effect a complete and orderly transition of advisory services.

Scope of Transfer

The Outgoing Adviser will transfer custody or copies of client files, account access instructions, executed documents, and other records specified in the Inventory below. The Incoming Adviser will accept responsibility for ongoing advisory duties for the specified clients and will assume such duties subject to any client consents required by law or contractual arrangements.

Inventory of Clients and Accounts

Enter each client or account being transferred. If additional inventory is required, attach a numbered schedule signed by both parties.

Delivery Checklist

Confirm transfer of the following items by checking the corresponding boxes and, where applicable, entering the transfer date or reference.

Client physical files delivered

Electronic records provided (format specified below)

Electronic records format and delivery method:

Online account access credentials transferred or instructions provided

Access transfer reference/details:

Executed legal documents delivered (POAs, beneficiary designations, signed agreements)

Certifications and Warranties

Outgoing Adviser certifies that, to the best of its knowledge after reasonable inquiry, the inventory and checklist above accurately reflect records and account information in its possession and that all transfers will be made in compliance with applicable fiduciary obligations and client consents. Outgoing Adviser further certifies that no material litigation, regulatory enforcement, or unresolved client complaints affecting transferred accounts remain undisclosed except as stated in the Notes.

Incoming Adviser acknowledges receipt of the inventory items checked above and agrees to assume ongoing advisory duties for the transferred clients upon acceptance, subject to obtaining any client consents and completing any required regulatory notifications. Incoming Adviser warrants that it maintains the necessary registrations, licenses, and professional standards to accept the transferred engagements.

Indemnity, Liability and Record Retention

Each party agrees to indemnify and hold harmless the other from liabilities arising solely from that party's actions or omissions prior to the Effective Date. The Outgoing Adviser remains responsible for obligations and liabilities arising from acts or omissions occurring prior to transfer. Both parties shall retain copies of transferred records in accordance with applicable regulatory retention requirements.

Outstanding Actions & Payment Matters

List any outstanding client actions, pending transactions, accrued fees or reimbursements to be resolved in connection with the transfer. If no items are outstanding, enter "None".

Privacy and Client Communication

The parties agree to coordinate client notifications required by contract or regulation. The Outgoing Adviser confirms that any disclosure of personal data to the Incoming Adviser is limited to what is necessary for the provision of advisory services and that appropriate safeguards have been applied.

Additional Terms

Acknowledgements

The undersigned represent that they are authorized to execute this Hand Over on behalf of the respective firms and that the information provided herein is true, complete and accurate to the best of their knowledge.

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