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 Prospectus 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 Prospectus 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 acknowledgeing 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. Broker Dealer Name Financial Adviser Name (First, Middle, Last) Operational Contact Name (Optional) (First, Middle, Last) Address (street) (city/state) (zip) Adviser Number Branch Number Telephone Email Address Fax Financial Adviser Signature Date Principal Signature Date 9. Investment Instructions 🞎 Custodial Accounts Forward Subscription Agreement to the custodian 🞎 By Wire Transfer Summit Bank, ABA Routing #000000000 MacKenzie Realty Capital, Inc., Account #122002942 Benefi...
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. Section 1.2(a)....................... 7
Financial Adviser. 6.1 During the term of this Contract the Client must be a client of a financial adviser acceptable to IAS.
Financial Adviser. Section 2.15...................... 19 GAAP........................................ Section 2.4....................... 12
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. Investment Adviser has engaged [ ] (“Financial Adviser”) on a non-exclusive basis to, among other things, identify prospective clients from among its existing contacts (including, without limitation, Client) and recommend Investment Adviser’s investment advisory services to such prospective clients (including, without limitation, Client). Client acknowledges and agrees that Financial Adviser is an independent contractor (rather than an employee, agent or representative) of Investment Adviser, and that as such, Financial Adviser does not have the right, power or authority to enter into any contract or to create any obligation on behalf of Investment Adviser or otherwise bind Investment Adviser in any way. Nothing in this Agreement will create a partnership, joint venture, agency, association, syndicate, unincorporated business or any other similar relationship between Investment Adviser and Financial Adviser. Furthermore, nothing in this Agreement will be construed to imply that Financial Adviser is a partner, shareholder, manager, managing member or member of Investment Adviser. Client further acknowledges receiving the written disclosure statement required by Rule 206(4)-3(b) under the Investment Advisers Act of 1940, as amended, which is attached as Schedule C hereto.
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. Canaccord Genuity Singapore Pte. Ltd. is the financial adviser to the Company in respect of the Proposed Acquisition, the Proposed Disposal and related transactions.
Financial Adviser. The Manager has appointed HL Bank as its financial adviser in relation to the Properties Acquisition.
