Investment Advisory Client definition

Investment Advisory Client means any Investment Company Client and any other client or account which the Firm advises or sub-advises as to the value of Securities or as to the advisability of investing in, purchasing or selling Securities.
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Investment Advisory Client means any Investment Company Client and any other client or account which is advised or subadvised by the Adviser as to the value of Securities or as to the advisability of investing in, purchasing or selling Securities.
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Investment Advisory Client means any person for whom the Adviser provides discretionary advisory services.
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Examples of Investment Advisory Client in a sentence

  • Conflicts of interest can arise when a Partner, officer or employee pursues interests that prevent the objective and effective performance of his or her duties for the Firm or an Investment Advisory Client.

  • No Access Person shall knowingly sell to or purchase from any Investment Advisory Client any Security or other property of which he or she has, or by reason of such transaction acquires, direct or indirect beneficial ownership, except Securities of which such Investment Advisory Client is the issuer.

  • Any Access Person inadvertently receiving nonpublic information regarding Securities held by an Investment Advisory Client of the Adviser should notify the Designated Officer immediately.

  • If an Access Person shall have acquired direct or indirect beneficial ownership of a Security of an issuer in a private placement transaction or of a Security which is an Unlisted Security, any subsequent decision or recommendation by such Access Person to purchase Securities of the same issuer for the account of an Investment Advisory Client shall be subject to an independent review by advisory personnel with no personal interest in the issuer.

  • A conflict situation can arise when an employee pursues interests that prevent the individual from performing his or her duties for the Company or an Investment Advisory Client objectively and effectively.

  • A conflict situation can arise when a partner, officer or employee pursues interests that prevent the individual from performing his or her duties for the Company or an Investment Advisory Client objectively and effectively.

  • If the Service, in conducting such a review, found shortcomings in the risk management plan, it might have been required to take any of a number of possible steps to remedy the flaws short of actually altering the guardrails.

  • Please refer to the UPlan II Investment Advisory Client Services Agreement for additional details.

  • Every Covered Person shall notify the Compliance Officer of the Company of any personal conflict of interest relationship that may involve the Company, such as the existence of any economic relationship between his or her transactions and securities held or to be acquired by any Investment Advisory Client.

  • A conflict situation can arise when a Partner, officer or employee pursues interests that prevent the individual from performing his or her duties for the Firm or an Investment Advisory Client objectively and effectively.


More Definitions of Investment Advisory Client

Investment Advisory Client means any investment advisory client for purposes of the Investment Advisers Act.
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Investment Advisory Client means any investment company (registered or unregistered under the 1940 Act) managed, advised and/or subadvised by the Adviser and any other client, portfolio or account which is managed, advised and/or subadvised by the Adviser as to the value of Securities or as to the advisability of investing in, purchasing or selling Securities.
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Investment Advisory Client. (including “Clients”) means any and all individuals or entities for which Newgate manages investments.
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Investment Advisory Client means any client of Paradigm and any other client or account which is advised or subadvised by Paradigm.
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Investment Advisory Client means any investment company (registered or unregistered under the 1940 Act) managed, advised and/or subadvised by the Adviser and any other client, portfolio or account which is managed, advised and/or subadvised by the Adviser
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Related to Investment Advisory Client

  • Investment Advisory Agreement means the investment advisory agreement entered into between the Adviser and the Fund, as from time to time in effect.

  • Investment Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;

  • Investment is any beneficial ownership interest in any Person (including stock, partnership interest or other securities), and any loan, advance or capital contribution to any Person.

  • Sub-Investment Manager means for each Fund the sub-investment manager or sub-investment managers indicated in the tables on page x, and in addition for each Fund any other sub-investment manager that the Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Manager will be provided to Shareholders upon request and details thereof will be disclosed in the periodic reports to Shareholders, and provided further that each Sub-Investment Manager may appoint a sub-investment manager/advisor to manage/advise any portion of the assets of the Fund in accordance with the requirements of the Central Bank Rules;

  • Investment Management Agreement means the Investment Management Agreement, dated as of the date hereof, by and between the Investment Manager and the Borrower.