INVESTMENT OBJECTIVES & RESTRICTIONS Sample Clauses

INVESTMENT OBJECTIVES & RESTRICTIONS. In order to provide you with personal financial advice and recommendations suitable to your particular circumstances, we will undertake a ‘fact find’ to gather the appropriate information to assess your needs. We will then be able to set out clearly your financial planning objectives based on your stated objectives, acceptable level of risk and any restrictions you may wish to place on the type of policies you are willing to consider. Details of your stated objectives will be set out in a Suitability Report we will issue to you to confirm our recommendation. Unless confirmed in writing to the contrary, we will assume that you do not wish to place any restrictions on the advice we give to you. You hereby acknowledge that in the event of the firm assisting you in the completion of any investment or insurance application or policy proposal forms, you will in any event continue to bear full responsibility for the accuracy and completeness of the information entered on such forms. Therefore, you understand that inclusion of incorrect information or omission of any material facts may result in the insurance, investment or policy to which the application or proposal relates being adversely adjusted, made void and/or any claim(s) made against it being refused. The advice we give you will be based on the information you have given us and your stated investment objectives, including the degree of risk you will accept. It is your responsibility to advise us on any changes.
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INVESTMENT OBJECTIVES & RESTRICTIONS. Following the issue of this document, any subsequent advice or recommendation offered to you will be based on your stated investment objectives, acceptable level of risk and any restrictions you wish to place on the type of investments or policies you are willing to consider. Details of your stated investment objectives will be identified during our discussions with you and confirmed in the suitability report that we will issue to you to confirm our recommendation. Unless confirmed in writing, to the contrary, we will assume that you do not wish to place any restrictions on the advice we give you.
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INVESTMENT OBJECTIVES & RESTRICTIONS. Following the issue of this document, any subsequent advice or recommendation offered to you will be based on your stated investment objectives, agreed level of risk you are prepared /able to take and any restrictions you wish to place on the type of investments or policies you are willing to consider. Details of your stated investment objectives will be identified during our discussions with you and confirmed within the suitability report that we will issue to you to confirm our recommendation(s). Unless confirmed in writing, to the contrary, we will assume that you do not wish to place any restrictions on the advice we give you. It is in the interests of our clients and Wise Investments that we obtain the best possible result when placing orders with other firms (e.g. third party brokers) for the execution of client orders or when transmitting orders on behalf of clients for particular investments – e.g. shares. We are required under the Rules of the Financial Conduct Authority to take all reasonable steps to provide ‘best execution’ when carrying out such transactions. Where we place or transmit orders for such investments on behalf of our clients, we may utilise the services of a third party broker and base our decision to place or transmit an order on the price and cost of execution of the order. For orders in collective investment schemes (e.g. unit trust), however, the price of units or shares in the scheme is normally set by the scheme operator or manager and as such we have little influence over the price available. Full details of our best execution arrangements are provided in our Best Execution Policy, a copy of which can be provided on request. We will enter into communication with you through whatever means are convenient to you and us, including face-to-face, telephone, e-mail and other acceptable electronic communication methods. If you wish to register a complaint, please contact us: • In writing: Write to Mr A Dawborn Wise Investments, The Tack Room, Balcombe Place Stables, Haywards Heath Road, Balcombe, RH17 6QJ • By phone: Telephone 00000 000000 If you cannot settle your complaint with us, you may be entitled to refer it to the Financial Ombudsman Service. We are covered by the FSCS. You may be entitled to compensation from the scheme if we cannot meet our obligations. This depends on the type of business and the circumstances of the claim. Most types of investment business are covered up to a maximum of £50,000. Further information abo...
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INVESTMENT OBJECTIVES & RESTRICTIONS. Following the issue of this document, any subsequent advice or recommendation offered to you will be based on your stated investment objectives, acceptable level of risk and any restrictions you wish to place on the type of investments or policies you are willing to consider. Details of your stated investment objectives will be identified during our discussions with you and confirmed in the suitability report that we will issue to you to confirm our recommendation. Unless confirmed in writing, to the contrary, we will assume that you do not wish to place any restrictions on the advice we give you. We will enter into communications with you through whatever means are convenient to you and us, including face-to-face, telephone, e-mail and other acceptable electronic communication methods. If you wish to register a complaint, please contact us: In writing: Write to Xxx Xxxxxx at Xxxxxx & Company Chartered Financial Planners, 3rd Floor Xxxxxxxx House. North Road, Lancaster, LA1 1LU By Telephone: Phone Xxx Xxxxxx on 00000 00000 By Email: Email xxx@xxxxx.xx If you cannot settle your complaint with us, you may be entitled to refer it to the Financial Ombudsman Service (FOS). We are covered by the FSCS. You may be entitled to compensation from the scheme if we cannot meet our obligations. This depends on the type of business and the circumstances of the claim. Most types of investment business are covered up to a maximum of £50,000. Insurance advice and arranging is covered for 100% of the claim, without any upper limit. Further information about compensation scheme arrangements is available from the FSCS.
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INVESTMENT OBJECTIVES & RESTRICTIONS. Following the issue of this document any subsequent advice or recommendation offered to you will be based on your stated investment objectives, agreed level of risk you are prepared / able to take and any restrictions you wish to place on the type of investments or policies you are willing to consider. Details of your stated investment objectives will be included in the suitability letter which we will issue to you to confirm our recommendation(s). Unless confirmed in writing, to the contrary, we will assume that you do not wish to place any restrictions on the advice we give you. You are advised that because investments can fall as well as rise, you may not get back the full amount invested. Past performance is not necessarily a guide to future performance. The method of paying for our services will depend on the type/level of service(s) provided. We will discuss your payment options with you and answer any questions you may have. We will agree the basis, frequency and method of any charges with you in writing before we carry out any work that you will be charged for. Details and examples of the costs of our services are included within our ‘Services and Costs Disclosure Document’. We will not charge you anything until you have agreed on how much we are to be paid. We will inform you if you have to pay VAT. We will confirm to you in writing the basis of our service and the reasons for recommending any transactions transmitted or executed on your behalf. Where we have arranged and implemented any investment for you, we will agree an ongoing service level based on your circumstances and needs, and the level of charge you are willing to pay. If you do not agree to an ongoing service at the time of implementation, we will not monitor or review the appropriateness of the advice provided nor provide any future advice. We will of course be pleased to advise you again in the future at your request, subject to our normal fee levels applicable at that time. We will also make arrangements for all your investments to be registered in your name unless you first instruct us otherwise in writing. We will forward to you all documents showing ownership of your investments as soon as practicable after we receive them; where a number of documents relating to a series of transactions is involved, we will normally hold each document until the series is complete and then forward them to you. We do not safeguard or administer client assets but we may arrange business through an...
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Related to INVESTMENT OBJECTIVES & RESTRICTIONS

  • Investment Objectives, Policies and Restrictions The Trust will provide Adviser with the statement of investment objectives, policies and restrictions applicable to the Fund as contained in the Trust's registration statements under the Act and the Securities Act of 1933, and any instructions adopted by the Trustees supplemental thereto. The Trust will provide Adviser with such further information concerning the investment objectives, policies and restrictions applicable thereto as Adviser may from time to time reasonably request. The Trust retains the right, on written notice to Adviser from the Trust, to modify any such objectives, policies or restrictions in any manner at any time.

  • INVESTMENT OBJECTIVE, POLICIES AND RESTRICTIONS The Fund will provide the Sub-Adviser with the statement of investment objective, policies and restrictions applicable to the Series as contained in the Series' Prospectus and Statement of Additional Information, all amendments or supplements to the Prospectus and Statement of Additional Information, and any instructions adopted by the Board of Trustees supplemental thereto. The Fund agrees, on an ongoing basis, to notify the Sub-Adviser in writing of each change in the fundamental and non-fundamental investment policies of the Series and will provide the Sub-Adviser with such further information concerning the investment objective, policies, restrictions and such other information applicable thereto as the Sub-Adviser may from time to time reasonably request for performance of its obligations under this Agreement. The Fund retains the right, on written notice to the Sub-Adviser or the Adviser, to modify any such objective, policies or restrictions in accordance with applicable laws, at any time.

  • Investment Objectives The objectives for the School District's investment activities are:

  • Investment Objective The Trust was created to invest and hold substantially all of its assets in Gold Coins. The Trust seeks to provide a secure, convenient and exchange-traded investment alternative for investors interested in holding physical gold without the inconvenience that is typical of a direct investment in physical gold. The Trust does not anticipate making regular cash distributions to Unitholders.

  • Agreement Objectives (a) The fundamental objective that the Parties have in creating the Agreement is to produce an agreed industrial relations framework that encourages achievement of the following goals on the Project. (1) A safe and healthy Project Site environment where everyone works towards achieving the health and safety management philosophy of an injury and incident free Project; (2) A Project where everyone has the opportunity to perform their best work and achieve a sense of personal satisfaction by the time they complete their work assignment; (3) A Project where all participants' efforts and best work translate into a high quality result for the Project; (4) A Project where all participants work toward the common goal of completing the construction work on the Project within the defined schedule and budget; (5) A Project where leaders focus on understanding and dealing with people issues; (6) A Project where all participants listen to others point of view and act to amicably resolve any differences of opinion that may occur from time to time without ever resorting to unreasonable or unlawful means to achieve the result they wish to achieve; (7) A Project where, by all the participants acting in a considerate and respectful manner, positive relations with the local community they are performing the construction work in are maintained. (b) The Employer is accountable to: (1) Provide the management resource and support needed to achieve an injury and incident free Project; (2) Encourage its leaders to focus on issues raised by any member of their team; (3) Ensure its leaders act to address appropriately and in a timely manner, any concern raised by any member of their team; (4) Act at all times with fairness, honesty and in a trustworthy manner, responding to issues or concerns raised in a timely manner; (5) Recognise the talents and capabilities of their Employees and encourage excellence in construction execution. (c) Each Employee is accountable to: (1) Establish and maintain a safe and healthy work area, ensure safe and healthy work practices are followed at all times and within their duty of care, take responsibility for their personal safety and the safety of other Employees; (2) Comply with Project environmental health and safety regulations, procedures and practices; (3) Participate in and comply with the Project’s cultural and environmental processes; (4) Ensure their personal fitness for work on each day they are scheduled to work; (5) In all of their dealings with other Employees and their Employer, act with fairness and respect; (6) Work towards both the Project and their team’s goals to the full extent of their personal capacity; and (7) Raise any personal concern/issue directly with their immediate team leader/supervisor thereby providing the Employer with an opportunity to resolve/assist the concern/issue. If the team leader/supervisor is not available, then raise the matter with a more senior Employer leader.

  • Scope of Restrictions If the scope of any restriction contained in any preceding paragraphs of this Agreement is deemed too broad to permit enforcement of such restriction to its fullest extent, then such restriction shall be enforced to the maximum extent permitted by law, and Employee hereby consents and agrees that such scope may be judicially modified accordingly in any proceeding brought to enforce such restriction.

  • Lapse of Restrictions If, for any reason, Shares are issued to the Employee within six months of the Grant Date, the Employee agrees that he or she will not sell or otherwise dispose of any such Shares prior to the six-month anniversary of the Grant Date.

  • Vesting and Lapse of Restrictions Subject to Sections 2.2(a) and 2.2(c), the Award shall vest and Restrictions shall lapse in accordance with the vesting schedule set forth on the Grant Notice.

  • Termination of Restrictions Except as set forth in Section 9.3 hereof, the restrictions imposed by this Section 9 upon the transferability of Restricted Securities shall cease and terminate as to any particular Restricted Securities: (a) which shall have been effectively registered under the Securities Act, or (b) when, in the opinions of both counsel for the holder thereof and counsel for the Company, such restrictions are no longer required in order to insure compliance with the Securities Act or Section 10 hereof. Whenever such restrictions shall cease and terminate as to any Restricted Securities, the Holder thereof shall be entitled to receive from the Company, without expense (other than applicable transfer taxes, if any), new securities of like tenor not bearing the applicable legends required by Section 9.1 hereof.

  • Extension of Restriction Period The Restriction Period shall be tolled for any period during which the Executive is in breach of any of Sections 4.2, 4.3 or 4.4 hereof.

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