Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s); that you may have different objectives, goals or strategies for such accounts/retirement plans; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan associated with this particular account and the applicable Qualified Custodian, Product Sponsor, and/or Third-Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), Product Sponsors, and Third-Party Money Manager with regard to your retirement plan (including but not limited to this Agreement, accompanying disclosure documents, plan documents, and prospectuses). • You will not lend or borrow money or securities to or from your Representative. You will not enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative or anyone associated with your Representative). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative or any person or entity associated with MOIS or your Representative. Except for financial planning services by MOIS through your Representative, all checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Plan. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly available information contained in a prospectus, disclosure document or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts and that all activity will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification of the activity. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice and that you are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree and acknowledge that you have received and reviewed the Retirement Plan Fee Disclosure relating to your plan in accordance with ERISA section 408(b)(2).
Appears in 2 contracts
Samples: Mois Customer Agreement for Retirement Plans, Mois Customer Agreement for Retirement Plans
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative Advisor and to the extent applicable, the Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) and/or Platform Manager will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) and Platform Manager(s); that you may have different investment objectives, goals goals, strategies or strategies risk tolerance for such accounts/retirement plansinvestments; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan investments associated with this particular account and the applicable Qualified Custodian, Product Sponsor, and/or Third-Party Money Manager or Platform Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative Advisor and to the extent applicable the Qualified Custodian(s), Product Sponsors, and Third-Party Money Manager and Platform Manager with regard to your retirement plan investments (including but not limited to this Agreement, accompanying disclosure documents, plan documentsprospectuses, confirmations, and prospectuses)statements) including information regarding risk, fees and expenses associated with such investment. You are responsible for reporting any discrepancies or unauthorized transactions to MOIS no later than ten (10) days from receipt of such information. You understand that your failure to do so will be deemed an acknowledgement that you have ratified and authorized any transaction or activity in your account. • You Except if you are an immediate family member of your Advisor, you will not lend or borrow money or securities to or from your Representative. You will not Advisor or any other person associated with MOIS or otherwise enter into any other personal business relationship with your Representative Advisor (including any type of investment or business activity involving your Representative Advisor or anyone associated with your RepresentativeAdvisor). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative Advisor or any other person associated with MOIS. • Except for financial planning services as described below, you will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative Advisor or any person or entity associated with MOIS or your RepresentativeAdvisor. Except for financial planning services by MOIS through your RepresentativeAdvisor, all checks or other forms of payment should be made payable to the Qualified Custodian Custodian, Third-Party Money Manager or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreementAdvisor, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative Advisor or any entity owned or controlled by your RepresentativeAdvisor. • You will not allow your Advisor, or any person associated with MOIS, to serve as trustee, guardian, fiduciary, or co-owner of your account(s) unless that person is a member of your immediate family (i.e., spouse, parent, child or other person living in your household). To the extent that your Advisor is an immediate family member and serving as a trustee, you acknowledge that this role is in your Advisor’s personal capacity and outside of the services of MOIS. MOIS reserves the right to further restrict or prohibit your Advisor from engaging in trust activities for immediate family members. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Planyour investments. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly publically available information contained in a prospectus, disclosure document document, confirmation, statement or other filing made by, or contained in information supplied by the Qualified Custodian Custodian, Third- Party Money Manager, Platform Manager or a Product Sponsor. • MOIS and your Representative Advisor can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission charge or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts accounts, including activities reflected on transaction confirmations and monthly/quarterly statements received from the Qualified Custodian(s), Product Sponsor(s), Third Party Money Manager(s) and/or Platform Manager(s), and that all activity transactions will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification receipt thereof. You acknowledge and agree that your failure to notify MOIS of the activityany problems with your account(s) will be viewed by MOIS as authorization or ratification of such activities for which you are responsible. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative Advisor or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- non-public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, Platform Manager, Third Party Money Manager, the Qualified Custodian Custodian, or a Product SponsorMOIS. • You agree and acknowledge that neither MOIS nor its Representative your Advisor can offer tax, legal or accounting advice regarding any investment product or strategy and that you You are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications so sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree and acknowledge that you have received and reviewed the Retirement Plan Fee Disclosure relating to your plan in accordance with ERISA section 408(b)(2).
Appears in 2 contracts
Samples: Mois Customer Agreement for Advisory Accounts, Mois Customer Agreement for Advisory Accounts
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s); that you may have different objectives, goals or strategies for such accounts/retirement plans; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan associated with this particular account and the applicable Qualified Custodian, Product Sponsor, and/or Third-Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), Product Sponsors, and Third-Party Money Manager with regard to your retirement plan (including but not limited to this Agreement, accompanying disclosure documents, plan documents, and prospectuses). • You will not lend or borrow money or securities to or from your Representative. You will not enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative or anyone associated with your Representative). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative or any person or entity associated with MOIS or your Representative. Except for financial planning services by MOIS through your Representative, all checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Plan. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly available information contained in a prospectus, disclosure document or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for for, any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts and that all activity will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification of the activity. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- non-public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice and that you are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree and acknowledge that you have received and reviewed the Retirement Plan Fee Disclosure relating to your plan in accordance with ERISA section 408(b)(2).
Appears in 1 contract
Samples: Mois Customer Agreement
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), ) and/or Product Sponsor(s), and/or Third-Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), ) and/or Product Sponsor(s), and/or Third-Party Money Manager(s); that you may have different investment objectives, goals goals, strategies or strategies risk tolerance for such accounts/retirement plansinvestments; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan investments associated with this particular account and the applicable Qualified Custodian, Custodian and/or Product Sponsor, and/or Third-Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), ) and Product Sponsors, and Third-Party Money Manager Sponsor(s) with regard to your retirement plan investments (including but not limited to this Agreement, accompanying disclosure documents, plan documentsprospectuses, confirmations, and prospectuses)statements) including information regarding risk, fees and expenses associated with such investment. You are responsible for reporting any discrepancies or unauthorized transactions to MOIS no later than ten (10) days from receipt of such information. You understand that your failure to do so will be deemed an acknowledgement that you have ratified and authorized any transaction or activity in your account. • You Except if you are an immediate family member of your Representative, you will not lend or borrow money or securities to or from your Representative. You will not Representative or otherwise enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative, an associate of your Representative or anyone any other person associated with your RepresentativeMOIS). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you • You will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative, an associate of your Representative or any other person or entity associated with MOIS or your Representative. Except for financial planning services by MOIS through your Representative, all All checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You will not allow your Representative, an associate of our Representative or any other person associated with MOIS to serve as trustee, guardian, fiduciary, or co-owner of your account(s) unless that person is a member of your immediate family (i.e., spouse, parent, child or other person living in your household). To the extent that your Representative is an immediate family member and serving as a trustee, you acknowledge that this role is in your Representative’s personal capacity and outside of the services of MOIS. MOIS reserves the right to further restrict or prohibit your Representative from engaging in trust activities for immediate family members. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Planyour investments. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly publically available information contained in a prospectus, disclosure document document, confirmation, statement or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts accounts, including activities reflected on transaction confirmations and monthly/quarterly statements received from the Qualified Custodian(s) or Product Sponsor(s), and that all activity transactions will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification receipt thereof. You acknowledge and agree that your failure to notify MOIS of the activityany problems with your account(s) will be viewed by MOIS as authorization or ratification of such activities for which you are responsible. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- non-public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • Although a Representative may also be licensed as an investment adviser representative of an investment adviser firm and hold industry designations such as the Certified Financial Planner (“CFP”), when the Representative is acting solely in his/her capacity as a registered representative to invest non-qualified assets, any recommendations will be made in accordance with FINRA suitability standards and not in the capacity as an investment advisory fiduciary, CFP or other standard. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice regarding any investment product or strategy and that you You are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications so sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree understand that your Representative is responsible for promptly transmitting any funds received from you in relation to account activity. After the MOIS Home Office receives the complete and acknowledge that you have correct new account application and transaction paperwork, MOIS may take up to seven days to review and transmit funds. MOIS will maintain a copy of funds received in the Home Office, including a record of when the funds were received from the customer and reviewed the Retirement Plan Fee Disclosure relating date the funds were transmitted to your plan in accordance with ERISA section 408(b)(2)the Product Sponsor. Once MOIS has approved or rejected the transaction, the funds will be promptly transmitted to the Qualified Custodian or Product Sponsor; or returned to the customer.
Appears in 1 contract
Samples: Mois Customer Agreement
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s); that you may have different objectives, goals or strategies for such accounts/retirement plans; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan associated with this particular account and the applicable Qualified Custodian, Product Sponsor, and/or Third-Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), Product Sponsors, and Third-Party Money Manager with regard to your retirement plan (including but not limited to this Agreement, accompanying disclosure documents, plan documents, and prospectuses). • You will not lend or borrow money or securities to or from your Representative. You will not enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative or anyone associated with your Representative). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative or any person or entity associated with MOIS or your Representative. Except for financial planning services by MOIS through your Representative, all checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Plan. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly publically available information contained in a prospectus, disclosure document or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts and that all activity will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification of the activity. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice and that you are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree and acknowledge that you have received and reviewed the Retirement Plan Fee Disclosure relating to your plan in accordance with ERISA section 408(b)(2).
Appears in 1 contract
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Third‐Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Third‐Party Money Manager(s); that you may have different objectives, goals or strategies for such accounts/retirement plans; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan associated with this particular account and the applicable Qualified Custodian, Product Sponsor, and/or Third-Party Third‐Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), Product Sponsors, and Third-Party Third‐Party Money Manager with regard to your retirement plan (including but not limited to this Agreement, accompanying disclosure documents, plan documents, and prospectuses). • You will not lend or borrow money or securities to or from your Representative. You will not enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative or anyone associated with your Representative). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative or any person or entity associated with MOIS or your Representative. Except for financial planning services by MOIS through your Representative, all checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Plan. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly available information contained in a prospectus, disclosure document or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for for, any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts and that all activity will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification of the activity. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Omaha NE 68175 Or call us at: 000-000-0000 800‐228‐2499 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 1‐800‐289‐9999 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- public non‐public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice and that you are responsible for consulting with tax, legal or accounting professionals as necessaryasnecessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or notornot. • You agree and acknowledge that you have received and reviewed the Retirement Plan Fee Disclosure relating to your plan in accordance with ERISA section 408(b)(2).
Appears in 1 contract
Samples: Mois Customer Agreement
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), ) and/or Product Sponsor(s), and/or Third-Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), ) and/or Product Sponsor(s), and/or Third-Party Money Manager(s); that you may have different investment objectives, goals goals, strategies or strategies risk tolerance for such accounts/retirement plansinvestments; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan investments associated with this particular account and the applicable Qualified Custodian, Custodian and/or Product Sponsor, and/or Third-Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), ) and Product Sponsors, and Third-Party Money Manager Sponsor(s) with regard to your retirement plan investments (including but not limited to this Agreement, accompanying disclosure documents, plan documentsprospectuses, confirmations, and prospectuses)statements) including information regarding risk, fees and expenses associated with such investment. You are responsible for reporting any discrepancies or unauthorized transactions to MOIS no later than ten (10) days from receipt of such information. You understand that your failure to do so will be deemed an acknowledgement that you have ratified and authorized any transaction or activity in your account. • You Except if you are an immediate family member of your Representative, you will not lend or borrow money or securities to or from your Representative. You will not Representative or otherwise enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative, an associate of your Representative or anyone any other person associated with your RepresentativeMOIS). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you • You will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative, an associate of your Representative or any other person or entity associated with MOIS or your RepresentativeMOIS. Except for financial planning services by MOIS through your Representative, all All checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You will not allow your Representative, an associate of our Representative or any other person associated with MOIS to serve as trustee, guardian, fiduciary, or co-owner of your account(s) unless that person is a member of your immediate family (i.e., spouse, parent, child or other person living in your household). To the extent that your Representative is an immediate family member and serving as a trustee, you acknowledge that this role is in your Representative’s personal capacity and outside of the services of MOIS. MOIS reserves the right to further restrict or prohibit your Representative from engaging in trust activities for immediate family members. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Planyour investments. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly publically available information contained in a prospectus, disclosure document document, confirmation, statement or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts accounts, including activities reflected on transaction confirmations and monthly/quarterly statements received from the Qualified Custodian(s) or Product Sponsor(s), and that all activity transactions will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification receipt thereof. You acknowledge and agree that your failure to notify MOIS of the activityany problems with your account(s) will be viewed by MOIS as authorization or ratification of such activities for which you are responsible. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- non-public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • Although a Representative may also be licensed as an investment adviser representative of an investment adviser firm and hold industry designations such as the Certified Financial Planner (“CFP”), when the Representative is acting solely in his/her capacity as a registered representative, any recommendations will be made in accordance with FINRA suitability and SEC best interest standards and not in the capacity as an investment advisory fiduciary, CFP or other standard. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice regarding any investment product or strategy and that you You are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications so sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree understand that your Representative is responsible for promptly transmitting any funds received from you in relation to account activity. After the MOIS Home Office receives the complete and acknowledge that you have correct new account application and transaction paperwork, MOIS may take up to seven days to review and transmit funds. MOIS will maintain a copy of funds received in the Home Office, including a record of when the funds were received from the customer and reviewed the Retirement Plan Fee Disclosure relating date the funds were transmitted to your plan in accordance with ERISA section 408(b)(2)the Product Sponsor. Once MOIS has approved or rejected the transaction, the funds will be promptly transmitted to the Qualified Custodian or Product Sponsor; or returned to the customer.
Appears in 1 contract
Samples: Mois Customer Agreement
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative Advisor and to the extent applicable, the Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) and/or Platform Manager will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) and Platform Manager(s); that you may have different investment objectives, goals goals, strategies or strategies risk tolerance for such accounts/retirement plansinvestments; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan investments associated with this particular account and the applicable Qualified Custodian, Product Sponsor, and/or Third-Party Money Manager or Platform Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative Advisor and to the extent applicable the Qualified Custodian(s), Product Sponsors, and Third-Party Money Manager and Platform Manager with regard to your retirement plan investments (including but not limited to this Agreement, accompanying disclosure documents, plan documentsprospectuses, confirmations, and prospectuses)statements) including information regarding risk, fees and expenses associated with such investment. You are responsible for reporting any discrepancies or unauthorized transactions to MOIS no later than ten (10) days from receipt of such information. You understand that your failure to do so will be deemed an acknowledgement that you have ratified and authorized any transaction or activity in your account. • You Except if you are an immediate family member of your Advisor, you will not lend or borrow money or securities to or from your Representative. You will not Advisor or any other person associated with MOIS or otherwise enter into any other personal business relationship with your Representative Advisor (including any type of investment or business activity involving your Representative Advisor or anyone associated with your RepresentativeAdvisor). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative Advisor or any other person associated with MOIS. • Except for financial planning services as described below, you will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative Advisor or any person or entity associated with MOIS or your RepresentativeAdvisor. Except for financial planning services by MOIS through your RepresentativeAdvisor, all checks or other forms of payment should be made payable to the Qualified Custodian Custodian, Third-Party Money Manager or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreementAdvisor, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative Advisor or any entity owned or controlled by your RepresentativeAdvisor. • You will not allow your Advisor, or any person associated with MOIS, to serve as trustee, guardian, fiduciary, or co-ownerof your account(s) unless that person is a memberof your immediate family (i.e., spouse, parent, child or other person living in your household). To the extent that your Advisor is an immediate family member and serving as a trustee, you acknowledge that this role is in your Advisor's personal capacity and outside of the services of MOIS. MOIS reserves the right to further restrict or prohibit your Advisor from engaging in trust activities for immediate family members. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Planyour investments. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly available information contained in a prospectus, disclosure document document, confirmation, statement or other filing made by, or contained in information supplied by the Qualified Custodian Custodian, Third- Party Money Manager, Platform Manager or a Product Sponsor. • MOIS and your Representative Advisor can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission charge or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “"no” " under “"Industry and Other Affiliations” " in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “"yes” " under “"Industry and Other Affiliation”"; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts accounts, including activities reflected on transaction confirmations and monthly/quarterly statements received from the Qualified Custodian(s), Product Sponsor(s), Third Party Money Manager(s) and/or Platform Manager(s), and that all activity transactions will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification receipt thereof. You acknowledge and agree that your failure to notify MOIS of the activityany problems with your account(s) will be viewed by MOIS as authorization or ratification of such activities for which you are responsible. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Omaha NE 68175 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s 's public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative Advisor or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- non-public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, Platform Manager, Third Party Money Manager, the Qualified Custodian Custodian, or a Product SponsorMOIS. • You agree and acknowledge that neither MOIS nor its Representative your Advisor can offer tax, legal or accounting advice regarding any investment product or strategy and that you You are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications so sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree and acknowledge that you have received and reviewed the Retirement Plan Fee Disclosure relating to your plan in accordance with ERISA section 408(b)(2).
Appears in 1 contract
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), ) and/or Product Sponsor(s), and/or Third-Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), ) and/or Product Sponsor(s), and/or Third-Party Money Manager(s); that you may have different investment objectives, goals goals, strategies or strategies risk tolerance for such accounts/retirement plansinvestments; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan investments associated with this particular account and the applicable Qualified Custodian, Custodian and/or Product Sponsor, and/or Third-Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), ) and Product Sponsors, and Third-Party Money Manager Sponsor(s) with regard to your retirement plan investments (including but not limited to this Agreement, accompanying disclosure documents, plan documentsprospectuses, confirmations, and prospectuses)statements) including information regarding risk, fees and expenses associated with such investment. You are responsible for reporting any discrepancies or unauthorized transactions to MOIS no later than ten (10) days from receipt of such information. You understand that your failure to do so will be deemed an acknowledgement that you have ratified and authorized any transaction or activity in your account. • You Except if you are an immediate family member of your Representative, you will not lend or borrow money or securities to or from your Representative. You will not Representative or otherwise enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative, an associate of your Representative or anyone any other person associated with your RepresentativeMOIS). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you • You will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative, an associate of your Representative or any other person or entity associated with MOIS or your RepresentativeMOIS. Except for financial planning services by MOIS through your Representative, all All checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You will not allow your Representative, an associate of our Representative or any other person associated with MOIS to serve as trustee, guardian, fiduciary, or co-owner of your account(s) unless that person is a member of your immediate family (i.e., spouse, parent, child or other person living in your household). To the extent that your Representative is an immediate family member and serving as a trustee, you acknowledge that this role is in your Representative’s personal capacity and outside of the services of MOIS. MOIS reserves the right to further restrict or prohibit your Representative from engaging in trust activities for immediate family members. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Planyour investments. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly available information contained in a prospectus, disclosure document document, confirmation, statement or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts accounts, including activities reflected on transaction confirmations and monthly/quarterly statements received from the Qualified Custodian(s) or Product Sponsor(s), and that all activity transactions will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification receipt thereof. You acknowledge and agree that your failure to notify MOIS of the activityany problems with your account(s) will be viewed by MOIS as authorization or ratification of such activities for which you are responsible. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Omaha NE 68175 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- non-public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • Although a Representative may also be licensed as an investment adviser representative of an investment adviser firm and hold industry designations such as the Certified Financial Planner (“CFP”), when the Representative is acting solely in his/her capacity as a registered representative, any recommendations will be made in accordance with FINRA suitability and SEC best interest standards and not in the capacity as an investment advisory fiduciary, CFP or other standard. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice regarding any investment product or strategy and that you You are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications so sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree understand that your Representative is responsible for promptly transmitting any funds received from you in relation to account activity. After the MOIS Home Office receives the complete and acknowledge that you have correct new account application and transaction paperwork, MOIS may take up to seven days to review and transmit funds. MOIS will maintain a copy of funds received in the Home Office, including a record of when the funds were received from the customer and reviewed the Retirement Plan Fee Disclosure relating date the funds were transmitted to your plan in accordance with ERISA section 408(b)(2)the Product Sponsor. Once MOIS has approved or rejected the transaction, the funds will be promptly transmitted to the Qualified Custodian or Product Sponsor; or returned to the customer.
Appears in 1 contract
Samples: Mois Customer Agreement
Your Representations. You represent and agree that: • You have read this Agreement and understand that MOIS, your Representative and to the extent applicable, the Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s) will rely upon the most current information provided by you in connection with providing Services for your Account. You recognize the value and usefulness of the services of MOIS will depend upon the accuracy and completeness of the information that you provide to MOIS, upon your active participation in the formulation of the objectives, and in the implementation of the advice to attain those objectives. You will provide MOIS all requested information and required documents that MOIS may reasonably request in order to permit a complete evaluation and preparation of the recommendations for you. You agree that you are obligated to notify MOIS of any changes to information previously supplied by you which is no longer accurate. MOIS will not be responsible for the verification of the information and documentation provided by you. You understand that you may maintain (individually or jointly) multiple accounts with different Qualified Custodian(s), Product Sponsor(s), and/or Third-Party Money Manager(s); that you may have different objectives, goals or strategies for such accounts/retirement plans; and that unless otherwise stated, the information contained in the accompanying Account Application only applies to the retirement plan associated with this particular account and the applicable Qualified Custodian, Product Sponsor, and/or Third-Party Money Manager. You are responsible for reading any and all information provided to you by MOIS, your Representative and to the extent applicable the Qualified Custodian(s), Product Sponsors, and Third-Party Money Manager with regard to your retirement plan (including but not limited to this Agreement, accompanying disclosure documents, plan documents, and prospectuses). • You will not lend or borrow money or securities to or from your Representative. You will not enter into any other personal business relationship with your Representative (including any type of investment or business activity involving your Representative or anyone associated with your Representative). You will immediately notify in writing the Compliance Department of MOIS in the event that you borrow or lend money or securities from your Representative or any other person associated with MOIS. Except for financial planning services as described below, you will not write checks, prepare wire or ACH instructions, or authorize money orders or other methods of payment by making them payable to MOIS, your Representative or any person or entity associated with MOIS or your Representative. Except for financial planning services by MOIS through your Representative, all checks or other forms of payment should be made payable to the Qualified Custodian or a particular Product Sponsor. For financial planning services provided by MOIS through your Representative in connection with a separate advisory agreement, you may write a check made payable to MOIS; however, under no circumstances may you make a check payable to your Representative or any entity owned or controlled by your Representative. • You understand that investing in securities involves risk and that many variables exist that may have a substantial negative effect on the value of the Plan. You agree that you will not rely upon any information, statement, forecast, guarantee, comparison, prediction or projection (whether made orally or in writing) that is not contained in, or is inconsistent with, any publicly available information contained in a prospectus, disclosure document or other filing made by, or contained in information supplied by the Qualified Custodian or a Product Sponsor. • MOIS and your Representative can rely upon any written or oral instructions provided by you with regard to activities in your account(s) (i.e., unsolicited and solicited trade instructions, transfers, and check requests) and that you are responsible for paying any fee, charge, commission or other expenses incurred by MOIS as a result of those instructions. You agree to indemnify MOIS from, and hold MOIS harmless for for, any losses resulting from your actions or failure to act, including losses resulting from actions taken by third parties acting on your behalf. • If you have checked the box “no” under “Industry and Other Affiliations” in the accompanying Application, you represent and warrant that you are not (i) associated with any of the persons or entities identified in the box for “yes” under “Industry and Other Affiliation”; (ii) no person other than as disclosed in the Account Application has an interest in your account(s); and (iii) you will immediately notify MOIS in writing if there is any change in your response to these questions. • You agree to review and monitor all activities in your accounts and that all activity will be deemed accurate and in accordance with your instructions unless you notify MOIS in writing within ten (10) days following notification of the activity. You may contact MOIS regarding any activities in your account(s) as well as to submit a question or complaint in writing at: Mutual of Omaha Investor Services, Inc. 0000 Xxxxxx xx Xxxxx Xxxxx Xxxxx XX 00000 Or call us at: 000-000-0000 Or email us at: xxxx.xxxxxxxxxx@xxxxxxxxxxxxx.xxx The Financial Industry Regulatory Authority (FINRA) requires that MOIS provide the following information concerning FINRA’s public disclosure program. You may contact FINRA directly at FINRA BrokerCheck Hotline: 0-000-000-0000 or at their website address: xxx.xxxxx.xxx. • You agree and authorize MOIS to monitor and/or record any telephone conversations with you or any person acting on your behalf. • You agree to resolve any disputes concerning your relationship with MOIS and any person associated with MOIS (including any Representative or any business entity they conduct business through), employees, officers, directors of MOIS or any company affiliated with MOIS in accordance with the Arbitration Agreement contained in this Agreement. • You understand that you are responsible for maintaining appropriate safeguards regarding your non- non-public personal information stored by you in electronic or physical format. You understand that the failure to do could result in an unauthorized person gaining access to your accounts or information maintained by you, the Qualified Custodian or a Product Sponsor. • You agree and acknowledge that neither MOIS nor its Representative can offer tax, legal or accounting advice and that you are responsible for consulting with tax, legal or accounting professionals as necessary. • Communications may be sent to you at your current address which is on file with MOIS, or at such other address as you may hereafter give MOIS in writing. All communications sent, whether by mail, telegraph, messenger, or otherwise, shall be deemed given to you personally, whether actually received or not. • You agree and acknowledge that you have received and reviewed the Retirement Plan Fee Disclosure relating to your plan in accordance with ERISA section 408(b)(2).
Appears in 1 contract
Samples: Mois Customer Agreement
