Acknowledgement of Receipt of Form ADV Sample Clauses

Acknowledgement of Receipt of Form ADV. Client acknowledges receipt of information concerning Advisor, including a copy of Advisor’s Schedule H of Form ADV for the Program and Privacy Policy. Client also acknowledges receipt of Part II of Form ADV and Privacy Policy for each of the Platform Manager, any Sub-Manager managing Client assets and any Model Provider whose investment model is being used on behalf of Client. Confidential Treatment Requested EXHIBIT G-4 MANAGED ACCOUNT RESOURCES PROGRAM TERMS AND CONDITIONS By executing the Statement of Investment Selection, Client has entered into an agreement with the independent financial advisor identified therein (“Advisor”) and Envestnet Asset Management, Inc. (“Platform Manager”) relating to the investment advisory services that will be provided to Client by Advisor and Platform Manager. Advisor has determined that Client would be a suitable participant and has recommended to Client that Client participate in the Managed Account Resources Program (the “Program”) offered by Platform Manager. Client understands that Platform Manager and Advisor are not affiliated other than through jointly providing services to the Program. Platform Manager, a registered investment adviser, operates the technology platform on which the Program functions and renders investment advice to Advisor and/or Client, including recommending an appropriate asset allocation for Client and specific investment managers or investment products. Client wishes to participate in the Program with respect to certain of Client’s assets (the “Program Assets”). The Program Assets may be invested (i) in separate accounts managed by other investment advisers, as sub-managers (“Sub-Managers”), pursuant to agreements entered into by Platform Manager and Sub-Managers (“Separately Managed Account Program Assets”); (ii) in a single account managed by the Platform Manager pursuant to the directions of one or more Sub-Managers (“MMA Program Assets” and “Manager Blend Program Assets”); (iii) in a single account for a portfolio customized by Advisor and managed by Platform Manager pursuant to the directions of one or more Sub-Managers (“UMA Program Assets”); (iv) in mutual funds and/or exchange-traded funds (“ETFs”) available through the Program (“Wrap Program Assets”) managed directly by the Platform Manager or using one or more model portfolios of funds available under the Program that were created by one or more independent investment advisers (the “Model Portfolio Providers”) based on target asse...
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Acknowledgement of Receipt of Form ADV. Client acknowledges receipt of information concerning Advisor, including a copy of Advisor’s Schedule H of Form ADV for the Program and Privacy Policy. Client also acknowledges receipt of Part II of Form ADV and Privacy Policy for each of the Platform Manager, any Sub-Manager managing Client assets and any Model Provider whose investment model is being used on behalf of Client. Confidential Treatment Requested EXHIBIT G-2 MANAGED ACCOUNT SOLUTIONS PROGRAM TERMS AND CONDITIONS By executing the Statement of Investment Selection, Client has entered into an agreement with the independent financial advisor identified therein (“Advisor”) and Envestnet Asset Management, Inc. (“Platform Manager”) relating to the investment advisory services that will be provided to Client by Advisor and Platform Manager. Advisor has determined that Client would be a suitable participant and has recommended to Client that Client participate in the Managed Account Solutions Program (the “Program”) offered by Platform Manager. Client understands that Platform Manager and Advisor are not affiliated other than through jointly providing services to the Program. Platform Manager, a registered investment adviser, operates the technology platform on which the Program functions and renders investment advice to Advisor and/or Client, including recommending an appropriate asset allocation for Client and specific investment managers or investment products. Client wishes to participate in the Program with respect to certain of Client’s assets (the “Program Assets”).
Sample 1
Acknowledgement of Receipt of Form ADV. Client acknowledges receipt of information concerning Platform Manager, including a copy of Platform Manager’s Schedule H of Form ADV for the Program and Privacy Policy. Client also acknowledges receipt of Part II of Form ADV and Privacy Policy for each of the Advisor, any Sub-Manager managing Client assets and any Model Provider whose investment model is being used on behalf of Client. Confidential Treatment Requested EXHIBIT H Disaster Recovery Plan for ENVESTNET ASSET MANAGEMENT GROUP January 2, 2007 Envestnet Asset Management Group (applicable to all affiliates) has developed the following procedures to launch a timely recovery from a disaster. The basis of these procedures is to minimize the impact of a disaster to the firm, its employees, vendors and clients. DECLARING AN EMERGENCY Xxx Xxxxxxx, CEO and Xxxxx Xxxxxx, CFO will be considered the Disaster Team Leaders and will be responsible for declaring an emergency situation. In the event either individual is not able to make such a declaration, the responsibility will be passed on to the next person on the Team Alert list (see page 4) and so on and so forth until a designated Team Member can make such a declaration. Xxxxxx Xxxxx, Chief Compliance Officer will be responsible for maintaining a list of all current employees and their contact information (see attached spreadsheet). It is the responsibility of Xxxxxx Xxxxx to maintain this list and keep it current. All employees are required to review the list and make any appropriate changes at least semi-annually. Employees that are concerned about privacy issues are requested to discuss this concern with Xxxxxx Xxxxx and special arrangements will be made to mitigate such concerns. A copy of this list will be distributed to each employee of the Envestnet Asset Management Group and should be kept by each employee on-site as well as at home. In the event of a disaster Xxx Xxxxxxx will notify the firm’s senior officers to review the extent of the emergency and make a decision on which plan of action should be followed. If the senior officers cannot be reached Xxx Xxxxxxx (or the next in line on the Team Alert list) shall take it upon him/herself to make such decisions. Once a determination has been made, the individuals on the Team Alert list will call each employee, or designate someone to make such calls, advise the employee of the emergency declaration and provide instructions to the employee. DESTRUCTION OF THE FIRM’S CHICAGO PLACE OF BUSINESS In the e...
Sample 1

Related to Acknowledgement of Receipt of Form ADV

  • ACKNOWLEDGEMENT OF RECEIPT Each of the parties acknowledges receiving an executed copy of this Agreement.

  • Acknowledgement of Rights The Company acknowledges that, with respect to any Securities held by Firstar Capital Trust or a trustee of such trust, if the Property Trustee of such Trust fails to enforce its rights under this Indenture as the holder of the Securities held 71 81 as the assets of Firstar Capital Trust any holder of Capital Securities may institute legal proceedings directly against the Company to enforce such Property Trustee's rights under this Indenture without first instituting any legal proceedings against such Property Trustee or any other person or entity. Notwithstanding the foregoing, if an Event of Default has occurred and is continuing and such event is attributable to the failure of the Company to pay principal of or premium, if any, or interest on the Securities when due, the Company acknowledges that a holder of Capital Securities may directly institute a proceeding for enforcement of payment to such holder of the principal of or premium, if any, or interest on the Securities having a principal amount equal to the aggregate liquidation amount of the Capital Securities of such holder on or after the respective due date specified in the Securities.

  • Acknowledgment of Receipt The Guarantor acknowledges receipt of a copy of this Guaranty and each of the Loan Documents.

  • Acknowledgement of Risk (a) The Purchaser acknowledges and understands that its investment in the Securities involves a significant degree of risk, including, without limitation, (i) the Company remains a development stage business with limited operating history and requires substantial funds in addition to the proceeds from the sale of the Securities; (ii) an investment in the Company is speculative, and only Purchasers who can afford the loss of their entire investment should consider investing in the Company and the Securities; (iii) the Purchaser may not be able to liquidate its investment; (iv) transferability of the Securities is extremely limited; (v) in the event of a disposition of the Securities, the Purchaser could sustain the loss of its entire investment; and (vi) the Company has not paid any dividends on its Common Stock since inception and does not anticipate the payment of dividends in the foreseeable future. Such risks are more fully set forth in the SEC Documents;

  • Acknowledgement of Dilution The number of shares of Common Stock constituting Common Shares or Warrant Shares may increase substantially in certain circumstances, including the circumstance where the trading price of the Common Stock declines. The Company acknowledges that its obligation to issue Common Shares upon conversion of Debentures and Warrant Shares upon exercise of the Warrants is absolute and unconditional, regardless of the dilution that such issuance may have on other shareholders of the Company.

  • Acknowledgement of Full Understanding THE EXECUTIVE ACKNOWLEDGES AND AGREES THAT HE HAS FULLY READ, UNDERSTANDS AND VOLUNTARILY ENTERS INTO THIS AGREEMENT. THE EXECUTIVE ACKNOWLEDGES AND AGREES THAT HE HAS HAD AN OPPORTUNITY TO ASK QUESTIONS AND CONSULT WITH AN ATTORNEY OF HIS CHOICE BEFORE SIGNING THIS AGREEMENT.

  • Acknowledgement of Further Assignments The Depositor acknowledges that, under the Indenture, the Issuer will assign and pledge the Sold Property and related property and rights to the Indenture Trustee for the benefit of the Secured Parties.

  • Acknowledgement and Agreement By execution below, the Transferor expressly acknowledges and consents to the pledge of the 2024-1 SUBI Certificate and the 2024-1 SUBI and the assignment of all rights and obligations of the Transferor related thereto by the Transferee to the Indenture Trustee pursuant to the Indenture for the benefit of the Noteholders. In addition, the Transferor hereby acknowledges and agrees that for so long as the Notes are Outstanding, the Indenture Trustee will have the right to exercise all powers, privileges and claims of the Transferee under this Agreement.

  • Acknowledgement and Waiver 6.1 The Subscriber has acknowledged that the decision to purchase the Shares was solely made on the Company Information. The Subscriber hereby waives, to the fullest extent permitted by law, any rights of withdrawal, rescission or compensation for damages to which the Subscriber might be entitled in connection with the distribution of any of the Shares.

  • Tax Acknowledgement In connection with the Severance Benefits provided to Executive pursuant to this Agreement, the Company shall withhold and remit to the tax authorities the amounts required under applicable law, and Executive shall be responsible for all applicable taxes owed by him or her with respect to such Severance Benefits under applicable law. Executive acknowledges that he is not relying upon the advice or representation of the Company with respect to the tax treatment of any of the Severance Benefits. ​

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