Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.
Investment Advisory Services means investment management or investment advisory services, including any subadvisory services, that involve acting as an “investment adviser” within the meaning of the Investment Advisers Act.
Investment Advisory Services means any recommendation to buy, sell, vote or take any similar action with respect to a “Security” (which, for purposes of this definition only, shall have the meaning assigned thereto in the Advisers Act);
Examples of Investment Advisory Services in a sentence
Franklin Advisory Services, LLC Franklin Investment Advisory Services, Inc.
Among other consequences, failure to comply with Rule 206(4)-5 may trigger a ban on receiving compensation for Investment Advisory Services Business for two years, and failure to comply with MSRB Rule G-37 may prohibit our broker-dealer from engaging in municipal securities business (i.e., offering Section 529 Plans) with an issuer for two years.
NBP Fund Management Limited (NBP Funds) is a Non-Banking Finance Company with a license to perform Asset Management and Investment Advisory Services as per the NBFC Rules, 2003, and Pension Fund Management as per Voluntary Pension System Rules, 2005.
All notices to Manager shall be sent to: The Consulting Group c/o Citigroup Investment Advisory Services LLC.
All notices to Manager shall be sent to: The Consulting Group c/o Citigroup Investment Advisory Services Inc.
More Definitions of Investment Advisory Services
Investment Advisory Services means those activities performed by a person in connection with such person's engaging in any of the activities described in paragraph (a) of subsection (9.5) of this section, including such activities by a federal covered adviser or an investment adviser representative for a federal covered adviser.
Investment Advisory Services means any recommendation to buy, sell, vote or take any similar action with respect to a Security;
Investment Advisory Services means investment management or investment advisory services, including any subadvisory services, or any other services that involve acting as an “investment adviser” within the meaning of the Investment Advisers Act, and performing ancillary services and activities related or incidental thereto.
Investment Advisory Services means:
(1) the giving of financial, economic or investment advice;
(2) the rendering of investment management services and/or the rendering of related decisions;
(3) any act by an Insured for a Portfolio Entity, including but not limited to the acquisition or divestiture of an investment, the giving of or failure to give advice, in connection with the management, operation, capital structure, financial or legal administration or business of any Portfolio Entity; or
(4) (a) agreeing or refusing to make or extend a loan, lease or line of credit;
Investment Advisory Services means non-binding and non-discretionary advisory services and/ or such other related services provided to a Client by Portfolio Manager in terms of agreement executed with the Client in terms of SEBI (PMS) Regulations, 2020 and such circulars and/ or guidelines issued by SEBI from time to time.
Investment Advisory Services means any services that involve (i) the management of an investment account or fund (or portions thereof or a group of investment accounts or funds), (ii) the giving of advice with respect to the investment and/or reinvestment of assets or funds (or any group of assets or funds), or (iii) otherwise acting as an “investment adviser” within the meaning of the Investment Advisers Act of 1940, as amended (whether or not required to be registered under such act), and performing activities related or incidental thereto, provided that “Investment Advisory Services” shall exclude any service in respect of which no compensation or economic benefit is provided directly or indirectly to any person in respect of such service.
Investment Advisory Services means any investment advisory or strategic asset allocation advice provided by the Company to the Client from time to time in connection with any Investment Products;