Common use of Client Instructions Clause in Contracts

Client Instructions. Sponsor is authorized to follow your instructions (e.g. liquidation, portfolio) regarding your Account, whether you provide them directly to Sponsor or through your financial advisor. Sponsor will take action with respect to the underlying securities and other assets in your Account(s) only according to you or your authorized agent’s instructions. Sponsor may reject any instructions given by you or your agent if, in Sponsor’s judgment, implementing those instructions would: (i) violate any applicable federal or state law; (ii) any applicable rule or regulation of any regulatory agency or self-regulatory body;

Appears in 3 contracts

Samples: Active Portfolios Client Agreement, Active Portfolios Client Agreement, Client Agreement

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Client Instructions. Sponsor is and your financial advisor are authorized to follow your instructions (e.g. liquidationliquidation requests, portfoliostrategy changes) regarding your AccountAccount(s), whether you provide them directly to Sponsor or through your financial advisor. Sponsor will take action with respect to the underlying securities and other assets in your Account(s) only according to instructions from you or your authorized agent’s instructions. Sponsor may reject any instructions given by you or your agent if, in Sponsor’s judgment, implementing those instructions would: (i) violate any applicable federal or state law; (ii) any applicable rule or regulation of any regulatory agency or self-regulatory body;

Appears in 1 contract

Samples: Custom Advisory Relationship Agreement

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