Financial Adviser Clause Samples
The Financial Adviser clause defines the role, responsibilities, and authority of a financial adviser within the context of an agreement. Typically, this clause outlines the scope of services the adviser will provide, such as offering investment advice, managing assets, or assisting with financial planning, and may specify any limitations or requirements for their engagement. By clearly delineating the adviser's duties and the expectations of both parties, this clause helps prevent misunderstandings and ensures that all parties are aware of the adviser's function and obligations within the agreement.
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Financial Adviser. Section 1.2(a)....................... 7
Financial Adviser. Section 2.15............................. 19 GAAP.................................................. Section 2.4.............................. 12
Financial Adviser. The undersigned confirm on behalf of the Broker-Dealer or Registered Investment Advisor that they (i) are registered in the state in which the sale of the Shares to the investor executing this Subscription Agreement has been made and that the offering of the Shares is registered for sale in such state; (ii) have reasonable grounds to believe that the information and representations concerning the investor identified herein are true, correct and complete in all respects; (iii) have discussed such investor’s prospective purchase of Shares with such investor; (iv) have advised such investor of all pertinent facts with regard to the fundamental risks of the investment, including the lack of liquidity and marketability of the Shares; (v) have delivered a current Offering Circular and related supplements, if any, to such investor; (vi) have reasonable grounds to believe that the investor is purchasing these Shares for his or her own account; and (vii) have reasonable grounds to believe that the purchase of Shares is a suitable investment for such investor, that the undersigned will obtain and retain records relating to such investor’s suitability for a period of six years, that such investor meets the suitability standards applicable to such investor set forth in the Offering Circular and related supplements, if any, that such investor is in a financial position to enable such investor to realize the benefits of such an investment and to suffer any loss that may occur with respect thereto and that such investor has an acknowledging of the fundamental risks of the investment, the background and qualifications of the persons managing the Company and the tax consequences of purchasing and owning Shares. The undersigned Financial Adviser further represents and certifies that, in connection with this subscription for Shares, he or she has complied with and has followed all applicable policies and procedures under his or her firm’s existing Anti-Money Laundering Program and Customer Identification Program.
A) Registered Representative orB) Registered Investment Adviser NameName Address Address City State ZIP City State ZIP Phone CRD# Phone IARD# Email Name of Broker/Dealer Email Name of Clearing Firm Financial Adviser Signatures Signature of Registered or RA Representative Signature of B/D or Clearing Firm
Financial Adviser. Engage investment bankers or financial advisers for the provision of financial, managerial and/or operational advice in connection with the Company’s business.
Financial Adviser. 6.1 During the term of this Contract the Client must be a client of a financial adviser acceptable to IAS.
6.2 The Client agrees that the Financial Adviser:
(a) may act on the Client’s behalf pursuant to this agreement, including to give Instructions to IAS in relation to the Client’s Managed Account;
(b) may receive information and reports on the Client’s behalf. The Financial Adviser is responsible for the provision of the information and reports to the Client by mail, if required by the Class Order or requested by the Client.
6.3 The Client authorises the Financial Adviser to provide Instructions to IAS in respect to the Client’s Managed Account, including Instructions relating to:
(a) Investments, including changing Investment Options:
(b) withdrawals from the Client's Managed Account for payment to the Client's Nominated Bank Account;
(c) Payments; and
(d) amendment of Client and Managed Account details, excluding the Client’s Nominated Bank Account(s).
6.4 The Client must notify IAS in writing as soon as practicable if the Client terminates the relationship with their Financial Adviser and provide details of the person appointed to replace the Financial Adviser.
Financial Adviser. The Borrower shall use its best efforts to retain a financial advisor to assess alternative capital plans, at the earliest practicable time, and in any event within 6 months after the Closing Date. Such financial advisor shall be either (i) a reputable investment banking
Financial Adviser. WBC has not engaged, consented to engage, or authorized any financial adviser, broker, investment banker, or similar third party to act on its behalf, directly or indirectly, in connection with the transaction contemplated by this Agreement.
Financial Adviser. The Company has appointed PPCF as its financial adviser and full sponsor in respect of the Proposed Acquisition as amended by the Amended AVL SPA, the Proposed REGL Acquisition and the Proposed FSVL Acquisition.
Financial Adviser. The Manager has appointed HL Bank as its financial adviser in relation to the Properties Acquisition.
Financial Adviser. Except for the services of Robe▇▇ ▇. ▇▇▇▇▇ & ▇o. Incorporated ("Baird"), CNB has not engaged, consented to engage, or authorized any financial adviser, broker, investment banker, or similar third party to act on its behalf, directly or indirectly, in connection with the transaction contemplated by this Agreement. Any fees or expenses payable to Baird shall be paid by CNB, which fees and expenses are included in the estimate of expenses set forth in paragraph 4.4(d).