Investment Advisory. An investment advisory or management agreement whereby the agent shall undertake to furnish each Series of the Trust such management, investment advisory or supervisory, statistical and research facilities and services, and such other facilities and services, if any, as the Trustees shall from time to time consider desirable, all upon such terms and conditions as the Trustees may in their discretion determine to be not inconsistent with this Declaration, the applicable provisions of the 1940 Act or any applicable provisions of the By-Laws (any such agent being herein referred to as an "Investment Adviser"). To the extent required by the 1940 Act, any such advisory or management agreement and any amendment thereto shall be subject to approval by a Majority Shareholder Vote at a meeting of the Shareholders of the applicable Series of the Trust. Notwithstanding any provisions of this Declaration, the Trustees may authorize each Investment Adviser (subject to such general or specific instructions as the Trustees may from time to time adopt) to effect purchases, sales, loans or exchanges of Securities of the Trust on behalf of the Trustees or may authorize any officer or employee of the Trust or any Trustee to effect such purchases, sales, loans or exchanges pursuant to recommendations of the Investment Adviser (and all without further action by the Trustees). Any such purchases, sales, loans and exchanges shall be deemed to have been authorized by all of the Trustees. The Trustees may, in their sole discretion, call a meeting of Shareholders in order to submit to a vote of Shareholders of the applicable Series of Trust at such meeting the approval of or continuance of any such investment advisory or management agreement. The Trustees may authorize, subject to applicable requirements of the 1940 Act, any Investment Adviser to employ, from time to time, one or more sub-advisers to perform such of the acts and services of such Investment Adviser, and upon such terms and conditions, as may be agreed upon between the Investment Adviser and sub-adviser. Any reference in this Declaration to the Investment Adviser shall be deemed to include such sub-advisers, unless the context otherwise requires.
Investment Advisory. Services Subject to the succeeding provisions of this section and subject to the direction and control of the Board of Trustees of the Fund, the Manager shall:
(i) supervise continuously the investment program of the Fund and the composition of its portfolio;
(ii) determine what securities shall be purchased or sold by the Fund;
(iii) arrange for the purchase and the sale of securities held in the portfolio of the Fund;
(iv) at its expense provide for pricing of the Fund's portfolio daily using a pricing service or other source of pricing information satisfactory to the Fund and, unless otherwise directed by the Board of Trustees, provide for pricing of the Fund's portfolio at least quarterly using another such source satisfactory to the Fund; and Subject to the provisions of Section 5 hereof, the Manager may at its own expense delegate to a qualified organization ("Sub-Adviser"), affiliated or not affiliated with the Manager, any or all of the above duties. Any such delegation of the duties set forth in (i), (ii) or (iii) above shall be by a written agreement (the "Sub-Advisory Agreement") approved as provided in Section 15 of the Investment Company Act of 1940.
Investment Advisory. Duties Subject to the supervision of the Board of Directors of the Fund and the Investment Advisor, the Subadvisor will, in coordination with the Investment Advisor, (a) provide a program of continuous investment management for the Fund in accordance with the Fund's investment objectives, policies and limitations as stated in the Fund's prospectus and Statement of Additional Information included as part of the Fund's Registration Statement filed with the Securities and Exchange Commission ("SEC"), as they may be amended from time to time, copies of which shall be provided to the Subadvisor by the Investment Advisor; (b) make investment decisions for the Fund; and (c) place orders to purchase and sell securities for the Fund. In performing its investment management services to the Fund hereunder, the Subadvisor will provide the Fund with ongoing investment guidance and policy direction, including oral and written research, analysis, advice, statistical and economic data and judgments regarding individual investments, general economic conditions and trends and long-range investment policy. The Subadvisor further agrees that, in performing its duties hereunder, it will:
(a) comply with the 1940 Act and all rules and regulations thereunder, the Advisers Act, the Internal Revenue Code of 1986, as amended (the "Code") and all other applicable federal and state laws and regulations, and with any applicable procedures adopted by the Directors;
(b) use reasonable efforts to manage the Fund so that it will qualify, and continue to qualify, as a regulated investment company under Subchapter M of the Code and regulations issued thereunder;
(c) place orders pursuant to its investment determinations for the Fund in accordance with applicable policies expressed in the Fund's prospectus and/or Statement of Additional Information and in accordance with applicable legal requirements;
(d) furnish to the Company, the Investment Advisor and/or PFPC, Inc. (the "Administrator") whatever statistical information the Company, the Investment Advisor or the Administrator may reasonably request with respect to the Fund's assets or contemplated investments. In addition, the Subadvisor will keep the Company, the Investment Advisor, the Administrator and the Directors informed of developments materially affecting the Fund's portfolio and shall, on the Subadvisor's own initiative, furnish to the Fund from time to time whatever information the Subadvisor believes appropriate for this purpo...
Investment Advisory. Basic information. Investment Advisory is an Ancillary Service. The provision of this service is therefore tied not only to the conclusion of the Agreement, but also to the Client´s subsequent request for the provision of this service and the approval of the request by the Platform Subject of service. The Investment Advisory service consists in providing the Client with individualized recommendations regarding trading in a specific financial instrument, regardless of whether it is provided at the Client´s initiative or not. The provision of the investment advisory service by the Company includes in particular the following activities:
(ix) analysis of suitable financial instruments in terms of the Client´s investment profile and target market;
(x) advice on suitable financial instruments or a suitable trade in a financial instrument;
(xi) provision of detailed information about the financial instrument being advised (nature, parameters, performance, risks, etc.);
(xii) a comparison of the financial instrument being advised with other investments and financial instruments.
Investment Advisory. Services Subject to the succeeding provisions of this section and subject to the direction and control of the Board of Trustees of the Business Trust, the Manager shall:
Investment Advisory. The “Adviser” builds and monitors a personalized investment plan that can integrate all important asset classes. The “Client‟s” investment plan is created in line with the asset allocation, risk tolerance , investment policy objective and holding period. The services included are : Financial Health checks that analyse and assess the “Client‟s” investments and financial situation. Based on the risk profile investment policy objectives are outlined. Asset Allocation as per the risk profile , assets, market valuation and other parameters of the “Client”. Advice on the following asset classes
Investment Advisory or Broker-Dealer Contract --------------------------------------------- Consents. The number of Clients and the Annualized Gross Revenues of Clients -------- for which Confirming Consents have been obtained by the First Closing Date shall be at least 95% of each of the total number of the Sellers' Clients and Annualized Gross Revenues determined in accordance with Section 2.6(a), respectively.
Investment Advisory. LIM shall perform its responsibilities under this Agreement in accordance with the investment objectives and policies of the Account described in Section 3 hereof. Subject to such investment objectives and policies, LIM shall have authority in its sole discretion and without prior consultation with the Client and as attorney-in-fact with full power and authority on behalf of the Client:
(i) to make all investment decisions for the Account, it being understood that LIM shall have complete discretion as to the nature, amount and timing of all transactions to be effected in the Account;
(ii) to investigate, analyze, negotiate, purchase, enter into, monitor, manage, and sell or otherwise dispose of investments of all types referred to on Schedule B hereto and any additional types of investments as may be authorized in accordance with Section 3 hereof;
(iii) to negotiate, draft, legally document, execute, acknowledge, deliver, and if applicable, file or record, or cause to be filed or recorded, in any appropriate public office, all types of contracts, documents, agreements and certificates relating to investments for the Account, including, without limitation, brokerage agreements, letters of commitment, guarantees, stock purchase or subscription agreements, note agreements, participation agreements, purchase and sale agreements, indemnity agreements, partnership agreements, limited partnership agreements, joint venture agreements, option or warrant agreements, swap agreements, mortgages, correspondent agreements, trust deeds, trusts, financing statements, assignments, security agreements, pledges, reorganization agreements, modification agreements, escrow agreements and instruments of every kind and nature whatsoever, and to modify, cancel or terminate such contracts, documents, agreements and certificates;
(iv) after reasonable inquiry or investigation, to make such representations, warranties, covenants or certifications in the name of and on behalf of the Client as it believes to be true; to agree to any terms or conditions to control any investment or investment transaction; to direct the purchase, sale or exercise of any options, privileges or rights with respect to any investment; to initiate, defend or influence the direction of any claim or litigation arising from or with respect to any investment; to effect any purchase, sale, exchange, conversion, compromise, settlement or release with respect to any investment;
(v) to issue directly to brokers, deal...
Investment Advisory. For our investment advisory services, you pay a “wrap” program fee (the “Program Fee”) for the program you select. Program Fees are “asset-based,” meaning that it is calculated as a percentage of the assets invested in your advisory account according to the fee schedule in your advisory agreement with us. This means that the more assets you invest in your account, the more you pay in fees, and therefore we have an incentive to encourage you to increase your advisory account assets. In addition, depending on the advisory
Investment Advisory
