Trading and Execution Services Sample Clauses

Trading and Execution Services. As a general matter, XXXXXXX, its divisions and employees, and the Managers, shall use your designated custodian’s execution services to effect transactions for the purchase and/or sale of securities and other investments in your Account. Where XXXXXXX or another entity acts as Overlay Manager, in the absence of written instructions to the contrary (unless legal restrictions otherwise require or would make execution impractical and subject to Overlay Manager’s and the Manager’s obligation to seek best execution), you direct Overlay Manager or the Manager to execute transactions for the Account through or with: (i) A XXXXXXX- affiliated custodian; or (ii) one or more other broker-dealers that may or may not be affiliated with Overlay Manager or XXXXXXX. When they have full discretion on the account, in evaluating which broker or dealer will provide the best execution, XXXXXXX, Overlay Manager or the Manager, in their sole discretion and in accordance with applicable law (including the obligation to seek best execution) will consider the full range and quality of a broker’s or dealer’s services, which may include, among other things, the value of research provided as well as execution capability, commission rate, financial responsibility, and responsiveness. These entities may select broker-dealers which provide XXXXXXX and/or Overlay Manager, or Manager Research or other transaction-related services and may cause you to pay such broker-dealer commissions for effecting transactions in excess of the commission other broker-dealers may have charged. Such research and other services may be used for XXXXXXX’x and/or Overlay Manager’s or Manager’s own or other client accounts to the extent permitted by law. In connection with transactions effected for your Account, you authorize XXXXXXX, the Manager and Overlay Manager to establish and trade Accounts in your, XXXXXXX’x, or the Manager’s or Overlay Manager’s name with members of national or regional securities exchanges and Financial Industry Regulatory Authority (“FINRA”) including “omnibus” accounts established for the purpose of combining orders from more than one client.
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Trading and Execution Services. (a) Trading. I am responsible for all trading and investment decisions in my Account. Neither Xxxxxx Xxxxx nor its financial advisors will have authority for any trading or investment decisions in my Account, except as otherwise described in this Services Agreement. I understand that I cannot purchase fractional shares of exchange-traded funds (“ETFs”). If, when purchasing ETFs for my Account, there is not sufficient cash or assets invested in a money market fund to purchase a whole share, I direct Xxxxxx Xxxxx to sell a sufficient amount of shares of mutual funds and ETFs held in my Account to purchase a whole share.
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Trading and Execution Services. (a) Trading. I am responsible for all trading and investment decisions in my Account. Neither Xxxxxx Xxxxx nor its financial advisors will have authority for any trading or investment decisions in my Account, except as otherwise described in this Services Agreement.
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Trading and Execution Services. (a) Trading.
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Trading and Execution Services. Client has appointed each Advisor as its agent and attorney-in- fact to buy and sell securities or other investments for the Account at Client’s risk. Client hereby agrees to indemnify and hold Graystone Consulting, MSSB, and its officers, directors, agents, employees and affiliates harmless from all loss, cost, indebtedness and liabilities arising there from. In all such purchases and sales, Graystone Consulting is authorized to follow the instructions of the Advisor in every respect concerning the Account and, except as herein otherwise provided, the Advisor is authorized to act for Client in the same manner and with the same force and effect as Client might or could do with respect to such purchases and sales as well as with respect to all other things necessary or incidental thereto, except that the Advisor is not authorized to withdraw any money, securities or other property either in the name of Client or otherwise. This authorization is a continuing one and shall remain in full force and effect until terminated in writing. The termination of this authorization shall constitute a termination of this Agreement. In the absence of written instructions to the contrary from Client, transactions for the purchase and/or sale of securities and other investments shall be placed by the Advisor with brokers or dealers, including MSSB or its affiliates, as the Advisor in its sole discretion deems appropriate. Where transactions are effected through MSSB or its affiliates, they may act, in the absence of instructions to the contrary, on an agency or principal basis, to the extent permitted by law and subject to applicable restrictions, and will be entitled to compensation for its or their services. In connection with transactions effected for the Account, Client authorizes the Advisor to establish and trade Accounts in Client’s, MSSB’s or the Advisor’s name with members of national or regional securities exchanges and the Financial Industry Regulatory Authority, Inc. including “omnibus” accounts established for the purpose of combining orders from more than one client. Client consents that some or all executions for the Account may be aggregated with executions effected for other clients of MSSB and be subsequently allocated to the Account at an average price, and that MSSB may from time to time and at its discretion act as principal (to the extent permitted by law) with respect to aggregated orders that result in allocations to the Account at an average price. C...
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Trading and Execution Services 
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Related to Trading and Execution Services

  • Acquisition Services (i) Serve as the Company’s investment and financial advisor and provide relevant market research and economic and statistical data in connection with the Company’s assets and investment objectives and policies;

  • Sub-Advisory Services (a) The Sub-Adviser shall, subject to the supervision and oversight of the Adviser, manage the investment and reinvestment of such portion of the assets of the Fund, as the Adviser may from time to time allocate to the Sub-Adviser for management (the “Sub-Advised Assets”). The Sub-Adviser shall manage the Sub-Advised Assets in conformity with (i) the investment objective, policies and restrictions of the Fund set forth in the Trust’s prospectus and statement of additional information relating to the Fund, as they may be amended from time to time, any additional policies or guidelines, including without limitation compliance policies and procedures, established by the Adviser, the Trust’s Chief Compliance Officer, or by the Trust’s Board of Trustees (“Board”) that have been furnished in writing to the Sub-Adviser, (ii) the written instructions and directions received from the Adviser and the Trust as delivered; and (iii) the requirements of the Investment Company Act of 1940 (the “1940 Act”), the Investment Advisers Act of 1940 (“Advisers Act”), and all other federal and state laws applicable to registered investment companies and the Sub-Adviser’s duties under this Agreement, all as may be in effect from time to time. The foregoing are referred to below together as the “Policies.” For purposes of compliance with the Policies, the Sub-Adviser shall be entitled to treat the Sub-Advised Assets as though the Sub-Advised Assets constituted the entire Fund, and the Sub-Adviser shall not be responsible in any way for the compliance of any assets of the Fund, other than the Sub-Advised Assets, with the Policies. Subject to the foregoing, the Sub-Adviser is authorized, in its discretion and without prior consultation with the Adviser, to buy, sell, lend and otherwise trade in any stocks, bonds and other securities and investment instruments on behalf of the Fund, without regard to the length of time the securities have been held and the resulting rate of portfolio turnover or any tax considerations; and the majority or the whole of the Sub-Advised Assets may be invested in such proportions of stocks, bonds, other securities or investment instruments, or cash, as the Sub-Adviser shall determine. Notwithstanding the foregoing provisions of this Section 2(a), however, (i) the Sub-Adviser shall, upon and in accordance with written instructions from the Adviser, effect such portfolio transactions for the Sub-Advised Assets as the Adviser shall determine are necessary in order for the Fund to comply with the Policies, and (ii) upon notice to the Sub-Adviser, the Adviser may effect in-kind redemptions with shareholders of the Fund with securities included within the Sub-Advised Assets.

  • Shareholder Information Services (i) Make information available to shareholder servicing unit and other remote access units regarding trade date, share price, current holdings, yields, and dividend information.

  • Transition Services The Purchasers will provide to the Sellers termination assistance as reasonably requested in order to provide an orderly transition following the termination of the Agreement (or any portion thereof), and the Sellers will provide to the Purchasers reasonable cooperation and assistance in connection therewith. In connection with this transition assistance, the Purchasers and Sellers will reasonably cooperate in the transition of the Services from the Purchasers to any Replacement Provider. With respect to the Serviced Appointments subject to termination, the Sellers shall provide the Purchasers with notice of the effective date (each, a “Transition Effective Date”) of the transition of the Services to a Replacement Provider. Notwithstanding any termination of the Agreement (or any portion thereof) in accordance with this Article II, with respect to the Serviced Appointments subject to termination, the rights and obligations of the parties under the Servicing Agreement shall remain in effect until the applicable Transition Effective Date.

  • Investment Sub-Advisory Services Sub-Adviser shall serve as investment sub-adviser and shall supervise and direct the investments of each series of Penn Series listed on Exhibit A attached hereto (each, a “Fund”), as such Exhibit may be amended by mutual agreement of the parties hereto, and to exercise all rights incidental to ownership in accordance with the investment objectives, program and restrictions applicable to the Fund as provided in Penn Series’ Prospectus and Statement of Additional Information (“SAI”), as amended from time to time, and such other limitations as may be imposed by law or as Penn Series or Adviser may impose with notice in writing to Sub-Adviser. To enable Sub-Adviser to fully exercise its discretion, Adviser hereby appoints Sub-Adviser as agent and attorney-in-fact for the Fund with full power and authority to buy, sell and otherwise deal in securities and contracts for the Fund. No investment will be made by Sub-Adviser for the Fund if the investment would violate the investment objectives, investment restrictions or limitations of the Fund set out in the Prospectus and the SAI delivered to the Sub-Adviser and as may be amended and delivered to Sub-Adviser in the future. Sub-Adviser shall not take custody of any assets of Penn Series, but shall issue settlement instructions to the custodian designated by Penn Series (the “Custodian”). Sub-Adviser shall, in its discretion, obtain and evaluate such information relating to the economy, industries, businesses, securities markets and securities as it may deem necessary or useful in the discharge of its obligations hereunder and shall formulate and implement a continuing program for the management of the assets and resources of the Fund in a manner consistent with the investment objectives of the Fund. In furtherance of this duty, Sub-Adviser, as agent and attorney-in-fact with respect to Adviser and Penn Series, is authorized, in its discretion and without prior consultation with Adviser or Penn Series, to:

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