Investment Professional definition

Investment Professional means an Employee who, in connection with his or her regular functions or duties, makes or participates in making recommendations regarding purchases or sales for Client Accounts.

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Investment Professional means any Portfolio Manager and any research analyst or trader employed by the Investment Adviser who provides information and advice to a Portfolio Manager, or who helps execute a Portfolio Manager's securities trading decisions.

Investment Professional means the individual(s) appointed by us from time to time and notified to you as your investment professional in relation to your Portfolio;

Examples of Investment Professional in a sentence

Your Investment Professional, Financial Advisor, Investment Advisor or Broker (collectively referred to as your “Broker”) is the representative and/or the firm that you have appointed in the Account Application (or in another manner acceptable to and filed with the Custodian) as your agent.
Please contact an Investment Professional for further information.
Investment Professional Compensation • We do not pay compensation to broker-dealers or their registered representatives in connection with the sale of the Contract.
Your Investment Professional, Financial Representative, or Broker (collectively referred to as your “Financial Representative”) is the representative at the firm that you have appointed in the Account Application (or in another manner acceptable to and filed with the Custodian) as your agent.
The Custodian may rely, without independent inquiry, and shall be held harmless in so relying, upon any such instructions and directions executed by the Investment Professional as being made by the Employer (or the Employer’s Authorized Agent or any successor employer).

More Definitions of Investment Professional

Investment Professional means a person who is in the management of, research on, or the trading of investment products.

Investment Professional an investment professional as defined in article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005.

Investment Professional. “Broker” or “Financial Advisor” (collectively, “Investment Professional”) shall mean either a securities broker-dealer registered as such under the Securities Exchange Act of 1934, a bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934 or an investment advisor registered under the Investment Advisors Act of 1940, which the Employer has designated as his or her agent in the Adoption Agreement or on another signed form acceptable to and filed

Investment Professional means an individual or firm whose primary business is bringing together institutional funds and investment opportunities and who (A) is a broker-dealer or investment adviser agent licensed or registered (i) under the Connecticut Uniform Securities Act; (ii) in the case of an investment adviser agent, with the Securities and Exchange Commission, in accordance with the Investment Advisors' Act of 1940; or (iii) in the case of a broker-dealer, with the National Association of Securities Dealers in accordance with the Securities Exchange Act of 1934, or (B) is licensed under section 20-312, or under a comparable statute of the jurisdiction in which the subject property is located, or (C) (i) furnishes an investment manager with marketing services including, but not limited to, developing an overall marketing strategy focusing on more than one institutional fund, designing or publishing marketing brochures or other presentation material such as logos and brands for investment products, responding to requests for proposals, completing due diligence questionnaires, identifying a range of potential investors, or such other services as may be identified in regulations adopted under clause (ii) of this subparagraph; and (ii) meets criteria prescribed (I) by the Treasurer until regulations are adopted under this subparagraph, or (II) by the Citizen's Ethics Advisory Board, in consultation with the Treasurer, in regulations adopted in accordance with the provisions of chapter 54. Prior to adopting such regulations, the Citizen's Ethics Advisory Board shall transmit the proposed regulations to the Treasurer not later than one hundred twenty days before any period for public comment on such regulations commences and shall consider any comments or recommendations the Treasurer may have regarding such regulations. In developing such regulations, the Citizen's Ethics Advisory Board shall ensure that the state will not be competitively disadvantaged by such regulations relative to any legitimate financial market.

Investment Professional means an employee serving in a portfolio management, research analyst or trading function.

Investment Professional means an individual who:

Investment Professional means an adult with an extensive background in the financial industry serving on the Committee pursuant to § 204(b)(4) of this chapter.