KYU KYU Investment LLCINVESTMENT & SECURITIES · BRECKSVILLE OH Open a mandate
KYU / Mandate

Five books.

~46 service lines across five recorded functions — the complete register of investment work the firm performs. Expand a function for its line items.

Positions taken as principal — the firm's own capital at risk in securities speculation, royalties, tax liens, mortgages, venture capital, viatical settlements and pooled investment clubs.

Individuals investing in financial contracts on own account Investment clubs Mineral royalties or leases dealing (as principal) Mortgage dealers, buying and selling Oil royalty dealing (as principal) Securities speculators for own account Tax liens dealing (as principal) Venture capital companies Viatical settlement companies

Customized advice where the client pays the fee — financial planning, investment counseling and advisory services, priced openly and agreed in writing.

Certified financial planners, customized, fees paid by client Financial investment advice services, customized Financial planning services, customized Investment advice consulting services Investment advice counseling services Investment advisory services, customized

Managed money — mutual funds, pension funds, private equity, portfolio funds and personal investment trusts run under a written mandate.

Investment management Managing investment funds Managing mutual funds Managing personal investment trusts Managing trusts Mutual fund managing Pension fund managing Personal investments trusts, managing Portfolio fund managing Private equity fund managing

The fiduciary side — estate administration, bank trust offices, non-real-estate escrow and fiduciary agencies, securities custody and non-depository trust services.

Administrators of private estates Bank trust offices Escrow agencies (except real estate) Fiduciary agencies (except real estate) Personal investments trust administration Securities custodians Trust administration, personal investment Trust companies, nondepository

The plumbing of markets — clearinghouses, transfer agencies, quotation services, crowdfunding platforms, lease brokerage and securities-holders' protective services.

Business start-up fundraising using a crowdfunding platform Clearinghouses, commodity exchange or securities exchange Deposit brokers Exchange clearinghouses, commodities or securities Gas lease brokers' offices Oil lease brokers' offices Protective committees, security holders Quotation services, securities Quotation services, stock Securities holders' protective services Securities transfer agencies Stock quotation services Stock transfer agencies Transfer agencies, securities Virtual currency trading exchange clearinghouses
BOOK·VI

How each function
is recorded.

RECORDHouse standardCadence
REC-01Written mandate per managed fund, trust or accountPer mandate
REC-02Named fiduciary officer assigned to each fileOn file
REC-03Principal and fiduciary books segregatedStanding
REC-04Custodial accounts reconciled to statementMonthly
REC-05Fee basis stated in advisory agreementUp front
REC-06Dealing and trust records maintained to retentionStatutory

The mandate,
opened on file.

Describe the asset, the objective and the constraints — the house responds with a written mandate proposal.

Open a mandate