Account Transactions. a. Client recognizes and agrees that in order for Adviser to discharge its responsibilities, it must engage in securities brokerage transactions described in Item 1 herein; b. Commissions and/or transaction fees are generally charged for effecting securities transactions; c. Adviser, in return for effecting securities brokerage transactions through certain broker-dealers, may receive from those broker-dealers certain investment research products and/or services which assist Adviser in its investment decision making process for the Client.
Appears in 6 contracts
Sources: Discretionary Portfolio Management Agreement, Discretionary Portfolio Management Agreement, Discretionary Portfolio Management Agreement
Account Transactions. a. Client recognizes and agrees that in order for Adviser to discharge its responsibilities, it must engage in securities brokerage transactions described in Item paragraph 1 herein;
b. Commissions and/or transaction fees are generally charged by custodian for effecting securities transactions;
c. Adviser, in return for effecting securities brokerage transactions through certain broker-dealers, may receive from those broker-dealers certain investment research products and/or services which assist Adviser in its investment decision making process for the Client.
Appears in 2 contracts
Sources: Discretionary Investment Management Agreement, Investment Management Agreement
Account Transactions. a. Client recognizes and agrees that in order for Adviser Advisor to discharge its responsibilities, it Advisor must engage in securities brokerage transactions described in Item paragraph 1 herein;
b. Commissions and/or transaction fees are generally charged for effecting securities transactions;; and
c. Adviser, in return The brokerage commissions and/or transaction fees charged to Client for effecting securities brokerage transactions through certain broker-dealersare exclusive of, may receive from those broker-dealers certain investment research products and/or services which assist Adviser and in its investment decision making process for the Clientaddition to, Advisor Compensation as defined in paragraph 2 hereof.
Appears in 1 contract
Sources: Investment Advisory Agreement
Account Transactions. a. 4.1. Client recognizes and agrees that in order for Adviser Advisor to discharge its responsibilities, it must engage in securities brokerage transactions described in Item paragraph 1 herein;
b. 4.2. Commissions and/or transaction fees are generally charged for effecting securities transactions;; and
c. Adviser, in return 4.3. The brokerage commissions and/or transaction fees charged to Client for effecting securities brokerage transactions through certain broker-dealersare exclusive of, may receive from those broker-dealers certain investment research products and/or services which assist and in addition to, Adviser Compensation as defined in its investment decision making process for the Clientparagraph 2 hereof.
Appears in 1 contract
Sources: Investment Advisory Agreement
Account Transactions. a. Client recognizes and agrees that in order for Adviser to discharge its responsibilities, it must engage in securities brokerage transactions described in Item 1 herein;
b. Commissions and/or transaction fees are generally not charged for effecting securities transactionstransactions in mutual funds and ETFs at the custodian;
c. Adviser, in return for effecting securities brokerage transactions through certain broker-dealerscustodiane, may receive from those broker-dealers custodians certain investment research products and/or services which assist Adviser in its investment decision making process for the Client.
Appears in 1 contract
Account Transactions. a. (a) Client recognizes and agrees that in order for Adviser Advisor to discharge its responsibilities, it must engage in securities brokerage transactions as described in Item 1 hereinparagraph 1. above;
b. (b) Commissions and/or transaction fees are generally charged for effecting securities transactions;; and
c. Adviser, in return (c) The brokerage commissions and/or transaction fees charged to Client for effecting securities brokerage transactions through certain broker-dealersare exclusive of, may receive from those broker-dealers certain investment research products and/or services which assist Adviser and in its investment decision making process for the Clientaddition to, Advisor Compensation as defined in paragraph 2 above.
Appears in 1 contract
Sources: Investment Advisory Agreement
Account Transactions. a. Client recognizes and agrees that in order for Adviser to discharge its responsibilities, it must engage in securities brokerage transactions described in Item paragraph 1 herein;
b. Commissions and/or transaction fees are generally charged for effecting e"ecting securities transactions;
c. Adviser, in return for effecting e"ecting securities brokerage transactions through certain broker-dealers, may receive from those broker-dealers certain investment research products and/or services which assist Adviser in its investment decision making process for the Client.
Appears in 1 contract
Account Transactions. a. Client recognizes and agrees that in order for Adviser to discharge its responsibilities, it must engage in securities brokerage transactions described in Item paragraph 1 herein;
b. Commissions and/or transaction fees are generally charged for effecting securities transactions;
c. Adviser, in return for effecting securities brokerage transactions through certain broker-dealers, may receive from those broker-dealers certain investment research products and/or services which assist Adviser in its investment decision making process for the Client.
Appears in 1 contract