Affiliated Broker. Sub-Adviser or an affiliated person of Sub-Adviser may act as broker for each Fund Portfolio in connection with the purchase or sale of securities or other investments for each Portfolio Segment, subject to: (a) the requirement that Sub-Adviser seek to obtain best execution as set forth above; (b) the provisions of the Investment Advisers Act of 1940, as amended (the “Advisers Act”); (c) the provisions of the Securities Exchange Act of 1934, as amended; and (d) other applicable provisions of law. Subject to the requirements of applicable law and any procedures adopted by the Fund’s Board of Directors, Sub-Adviser or its affiliated persons may receive brokerage commissions, fees or other remuneration from the Fund Portfolio or the Fund for such services in addition to Sub-Adviser’s fees for services under this Agreement.
Affiliated Broker. Underlying Manager or an affiliated person of Underlying Manager may act as broker for the Portfolio in connection with the purchase or sale of securities or other investments for the Portfolio Segment, subject to: (a) the requirement that Underlying Manager seek to obtain best execution as set forth above; (b) the provisions of the Investment Advisers Act of 1940, as amended (the “Advisers Act”); (c) the provisions of the Securities Exchange Act of 1934, as amended; and (d) other applicable provisions of law. Subject to the requirements of applicable law and any procedures adopted by the Fund’s Board of Directors, Underlying Manager or its affiliated persons may receive brokerage commissions, fees or other remuneration from the Portfolio or the Fund for such services in addition to Underlying Manager’s fees for services under this Agreement.
Affiliated Broker. Subject to review by the Trustees, the Adviser shall place all orders for the purchase and sale of securities of the Fund. The Adviser or a subsidiary of the Adviser is permitted to act as a broker (but not a dealer or underwriter) in securities traded by the Fund, subject to review by the Trustees and all pertinent regulations and limitations. No such orders shall be placed in contravention of the Investment Company Act of 1940.
Affiliated Broker. Dealers. Broker or dealers selected by the Advisor for the purchase and sale of securities or other investment instruments for a Fund may include the Advisor or brokers or dealers affiliated with the Advisor or the Sub- Advisor, provided such orders comply with Rules 17e-1 and 10f-3 under the 1940 Act and the Trust’s Rule 17e-1 and Rule 10f-3 Procedures, respectively, in all respects, or any other applicable exemptive rules or orders applicable to the Advisor.
Affiliated Broker. In connection with the purchase or sale of securities or other investments for a Portfolio Segment, Sub-Adviser may allocate orders for purchase and sale transactions to any broker-dealer affiliated with Sub-Adviser or Adviser ("Affiliated Broker"), may purchase securities underwritten by Affiliated Broker, and may cause the Fund Portfolio to compensate Affiliated Broker for effecting such transactions, subject to: (a) the requirement that Sub-Adviser seek to obtain best execution as set forth above; (b) compliance with procedures adopted by the Fund pursuant to Rule 17e-1 and Rule l0f-3 under the 1940 Act; (c) the provisions of the Investment Advisers Act of 1940, as amended (the "Advisers Act"); (d) the provisions of the Securities Exchange Act of 1934, as amended; and (e) other applicable provisions of law. Adviser or the Fund may revoke any or all of the consents and authorizations given hereby at any time and without penalty by providing written notice to Sub-Adviser.
Affiliated Broker. The Advisor or an affiliated person of the Advisor may act as broker for the Funds or any portion thereof in connection with the purchase or sale of securities or other investments for the Funds or any portion thereof, subject to: (a) the requirement that the Advisor or Sub-Advisor seek to obtain best execution as set forth above; (b) the provisions of the Investment Advisers Act of 1940, as amended; (c) the provisions of the Securities Exchange Act of 1934, as amended; and (d) other applicable provisions of the law. Such brokerage services are not within the scope of duties obligated to be performed by the Advisor under this Agreement. Subject to the requirements of applicable law and any procedures adopted by the Company’s Board of Directors of which written notice has been provided to the Advisor, the Advisor or its affiliated persons may receive brokerage commissions, fees or other remuneration from the Funds for such services in addition to the Advisor’s fees for services under this Agreement.
Affiliated Broker. In connection with the purchase or sale of securities or other investments for each Portfolio Segment, Sub-Adviser may act as broker or Sub-Adviser may allocate orders for purchase and sale transactions to any broker-dealer affiliated with Sub-Adviser ("Affiliated Broker"), and may cause each Portfolio or each Fund to compensate Sub-Adviser or Affiliated Broker for effecting such transactions, subject to: (a) the requirement that Sub-Adviser seek to obtain best execution as set forth above; (b) compliance with procedures adopted by the Fund pursuant to Rule 17e-1 and Rule 10f-3 under the Investment Company Act of 1940, as amended; (c) the provisions of the Investment Advisers Act of 1940, as amended (the "Advisers Act"); (d) the provisions of the Securities Exchange Act of 1934, as amended, including but not limited to Section 11(a) thereof and Rule 11a2-2(T) thereunder; and (e) other applicable provisions of law. Subject to the requirements of applicable law and any procedures adopted by the Fund's Board of Trustees, Sub-Adviser or its affiliated persons may receive brokerage commissions, fees or other remuneration from the Fund Portfolio or the Fund for such services in addition to Sub- Adviser's fees for services under this Agreement. Adviser of the Fund may revoke any or all of the consents and authorizations given hereby at any time and without penalty by providing written notice to Sub- Adviser.
Affiliated Broker. Adviser acknowledges that Sub-Adviser is not at the time of execution of this Agreement, a registered broker dealer and that Sub-Adviser does not currently have any affiliate that is a registered broker dealer. However, in the event that Sub-Adviser becomes a registered broker-dealer or in the future has any affiliate that is a registered broker-dealer, Sub-Adviser or an affiliated person of Sub-Adviser may act as broker for each Fund Portfolio in connection with the purchase or sale of securities or other investments for each Portfolio Segment, subject to: (a) the requirement that Sub-Adviser seek to obtain best execution as set forth above; (b) the provisions of the Investment Advisers Act of 1940, as amended (the “Advisers Act”); (c) the provisions of the Securities Exchange Act of 1934, as amended; and (d) other applicable provisions of law. Subject to the requirements of applicable law and any procedures adopted by the Fund’s Board of Trustees, Sub-Adviser or its affiliated persons may receive brokerage commissions, fees or other remuneration from the Fund Portfolio or the Fund for such services in addition to Sub-Adviser’s fees for services under this Agreement.
Affiliated Broker. Dealers Baird is affiliated, and may be deemed to be under common control, with Strategas Securities, LLC (“Strategas Securities”), which is registered with the SEC as a broker-dealer and investment adviser, by virtue of their common indirect ownership. Due to its affiliation with that entity, Baird has a financial incentive to favor Strategas Securities’ investment products and services. Affiliated and Related Investment Advisors Baird is affiliated, and may be deemed to be under common control, with Riverfront Investment Group, LLC (“Riverfront”), Strategas Asset Management, LLC (“Strategas”) and GAMMA Investing, LLC (“GAMMA”), by virtue of their common ownership. By virtue of common indirect minority ownership, Baird is related to Greenhouse Funds LLLP (“Greenhouse”), Greenhouse Fund GP LLC (“Greenhouse GP”) and LoCorr Fund Management, LLC (“LoCorr”). Due to its relation to and affiliation with those entities, Baird has a financial incentive to favor their investment products and services. Affiliated and Related Mutual Funds, ETFs and Investment Companies Baird is the investment adviser and principal underwriter for Baird Funds, Inc. (the “Baird Funds”), an investment company registered under the Investment Company Act of 1940, as amended. Baird Advisors provides investment management, administrative, and other services to certain Baird Funds investing primarily in fixed income securities (the “Baird Bond Funds”). Baird Equity Asset Management and CCM provide investment management and other services to certain Baird Funds investing primarily in equity securities (the “Baird Equity Funds”), and Greenhouse is the investment subadvisor to one of those Funds, the Baird Equity Opportunity Fund. As compensation for its services, Baird receives fees from each Baird Fund, which fees are disclosed in each Fund’s prospectus and statement of additional information available at bairdassetmanagement.com/baird-funds. Certain Baird Funds been selected by Baird for inclusion on Baird’s Recommended Mutual Fund List, and all Baird Funds are made available to clients through Baird’s programs and services. Baird has a financial incentive to favor the Baird Funds because Baird receives more compensation if a client invests in the Baird Funds rather than other unaffiliated funds. Baird Financial Advisors who refer clients to the Baird Funds are eligible for referral compensation to be paid by Baird that is based upon, among other factors, the compensation received by Baird. ...
Affiliated Broker. Dealers or Counterparties. The Client hereby authorizes IIM to use ING Investment Management Services LLC (“IIM Services”), or other registered broker-dealers or counterparties affiliated with IIM, to execute trades for the Account. In selecting one of these broker-dealers or counterparties, IIM will use the same criteria as it uses to select any other broker-dealer or counterparty. IIM will pay commissions from the Account pursuant to rates posted from time to time and disclosed to the Client. The Client may terminate such authorization at any time and without penalty upon written notice delivered to IIM.With respect to transactions subject to Section 11(a) of the Securities Exchange Act of 1934 and applicable rules thereunder, IIM shall use its best efforts to provide the Client with information on an annual basis disclosing the brokerage commissions, if any, retained by IIM’s affiliates in connection with transactions for the Account conducted on a securities exchange.
