Common use of Account Transactions Clause in Contracts

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 paragraph 1 herein; (b) Commissions and/or transaction fees are generally charged for effecting securities transactions; (c) In return for effecting securities brokerage transactions through certain broker-dealers, ADVISER may receive from those broker-dealers certain investment research products and/or services which assist ADVISER in its investment decision making process for CLIENT, all of which transactions shall be in compliance with Section 28(e) of the Securities Exchange Act of 1934; and (d) The brokerage commissions and/or transaction fees charged to CLIENT for securities brokerage transactions are exclusive of, and in addition to, Adviser Compensation as defined in paragraph 2 hereof.

Appears in 3 contracts

Samples: Investment Advisory Agreement, Investment Advisory Agreement, Investment Advisory Agreement

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Account Transactions. (a) CLIENT The Client recognizes and agrees that in order for ADVISER Adviser to discharge its responsibilities, it must engage in securities brokerage transactions described in paragraph 1 herein; (b) Commissions and/or transaction fees are generally charged for effecting securities transactions; (c) In Adviser, in return for effecting securities brokerage transactions through certain broker-dealers, ADVISER may receive from those broker-dealers certain investment research products and/or services which assist ADVISER Adviser in its investment decision making process for CLIENTthe Client, all of which transactions shall be in compliance with Section 28(e) of the Securities Exchange Act of 1934; and (d) The brokerage commissions and/or transaction fees charged to CLIENT Client for securities brokerage transactions are exclusive of, and in addition to, Adviser Compensation as defined in paragraph 2 hereof.

Appears in 2 contracts

Samples: Regular Discretionary Investment Advisory Agreement, Regular Discretionary Investment Advisory Agreement

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Account Transactions. (a) CLIENT The Client recognizes and agrees that in order for ADVISER Adviser to discharge its responsibilities, it must engage in securities brokerage transactions described in paragraph 1 herein; (b) Commissions and/or transaction fees are generally charged for effecting securities transactions; (c) In Adviser, in return for effecting securities brokerage transactions through certain broker-broker- dealers, ADVISER may receive from those broker-dealers certain investment research products and/or services which assist ADVISER Adviser in its investment decision making process for CLIENTthe Client, all of which transactions shall be in compliance with Section 28(e) of the Securities Exchange Act of 1934; and (d) The brokerage commissions and/or transaction fees charged to CLIENT Client for securities brokerage transactions are exclusive of, and in addition to, Adviser Compensation as defined in paragraph 2 hereof.

Appears in 1 contract

Samples: Investment Advisory Agreement

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