Third-Party Money Manager Relationships. When entering into a Third-Party Money Manager Relationship, your Advisor will interview you in order to ascertain your financial position, investment goals and objectives, investment limitations and reasonable restrictions and risk tolerance. You will complete and sign a profile questionnaire. Based upon the information you provide, MOIS will refer you to a Third-Party Money Manager for asset management services. No guarantees can be made by MOIS or your Advisor that your financial goals or objectives will be achieved. If you select a referred Third-Party Money Manager, you will execute a separate agreement between you and the Third-Party Money Manager, which appoints the Third-Party Money Manager as investment adviser of record to provide investment management services to your Account. You acknowledge that Third-Party Money Manager may define investment objectives and risk tolerances differently than MOIS. Third-Party Money Manager definitions may not correspond with the investment objectives and risk tolerances established by MOIS in the Account Application, and MOIS and the Third-Party Money Manager will rely upon the Third-Party Money Manager’s investment objectives and risk tolerances for the services under this Agreement. The Third-Party Money Manager will provide continuous investment management for your Account based on the investment strategy that you selected. The Third-Party Money Manager will manage your Account in accordance with the particular investment objective, requirements and other information set forth in your account paperwork furnished to Third-Party Money Manager by you. MOIS’ responsibilities will not include formulating the investment strategy of Third-Party Money Manager, managing your Account, making any investment decision to buy or sell a security, or executing a trade for your Account. The Third-Party Money Manager will be responsible for placing orders to execute securities transactions for your Account in accordance with the authority granted by you in the separate agreement between you and the Third-Party Money Manager. If discretionary authority is granted by you, the Third-Party Money Manager will not be required to seek prior approval from MOIS or you when executing transactions. MOIS and your Advisor will not have any authority to place orders to execute securities transactions for your Account. You understand the following: a) MOIS is not an affiliated entity of Third-Party Money Manager; b) MOIS and your Advisor are...
