Record of Advice definition

Record of Advice means the electronic record on ECMS detailing all actions and advice provided by you in relation to a Case;
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Record of Advice means a document of mutual understanding that relates to the relevant and material content of the Advice or Intermediary Service that is/was provided to the Client.
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Examples of Record of Advice in a sentence

  • If you receive personal financial advice this will be documented in a Statement of Advice (SoA), or in specific circumstances a Record of Advice (RoA), that confirms the discussions you have had with us, the recommendations we are making and the basis for those recommendations.

  • This Statement of Advice will contain the basis on which the advice is given, personal information, recommendations and information about fees, remuneration and associations which may have influenced the provision of the advice.Thereafter, if your circumstances have not significantly changed, our Authorised Representative can provide you with another Statement of Advice or a Record of Advice as a confirmationof the advice provided.

  • What documents do you get if we provide further advice?Where we provide further advice and your circumstances and/or our advice has not significantly changed, we will provide you with a Record of Advice (RoA).

  • You can request the Record of Advice by contacting your Adviser or Affinia.In some circumstances your Adviser will provide general flnancial product advice.

  • Note: Full details of all fees and commissions for financial services will be provided to you in a Statement of Advice (SoA), or Record of Advice (RoA) and Product Disclosure Statements at the time of receiving any recommendation.

  • If your adviser provides further advice to you, but not in writing, and that further advice is related to the advice provided in a previous SOA, that further advice will be recorded in a Record of Advice (ROA).

  • If you have previously received advice recorded in a SOA, any further personal advice may be recorded in a Record of Advice (ROA).We will design an ongoing service programme to ensure your plan remains up to date and on track.

  • If you are given additional advice at a later time, you may be given a further SoA or Record of Advice (RoA).An RoA can only be used to provide advice if there has been no material change to your circumstances or strategy since your previous SoA.

  • Where this is the case, you will be provided a Record of Advice (RoA).Additionally, in certain circumstances where you are provided advice on a small investment balance you may be issued with a RoA.

  • What documents do you get if we provide further advice?‌Where we provide further advice and your circumstances and/or our advice has not significantly changed, we will provide you with a Record of Advice (RoA).

Related to Record of Advice

  • DRS Advice means a Direct Registration System (DRS) advice;

  • Board of Studies means the Board of Studies of the University;

  • Expert advice or assistance means advice or assistance derived from scientific, technical, or other specialized knowledge.

  • Investigating Committee means any Officer/Committee appointed by Competent Authority to conduct investigation.

  • the Academy means the school referred to in Article 4 and established by the Academy Trust;

  • the decisions means the decisions of the CMA on the questions which it is required to answer by virtue of section 35 of the Act;

  • Virtual Meeting means any general meeting of the Shareholders (or any meeting of the holders of any Class of Shares) at which the Shareholders (and any other permitted participants of such meeting, including without limitation the chairman of the meeting and any Directors) are permitted to attend and participate solely by means of Communication Facilities.

  • Meetings means the meetings of Affected Unsecured Creditors in the Unsecured Creditor Classes in respect of each Participating CCAA Party called for the purposes of considering and voting in respect of the Plan, which has been set by the Amended and Restated Meetings Order to take place at the times, dates and locations as set out in the Amended and Restated Meetings Order;

  • Legal Advice as used herein shall be solely and exclusively limited to the advice provided by legal counsel stating legal rights, duties, liabilities and defenses and shall not include factual information or the formulation or analysis of business strategy.

  • investment advice means the provision of personal recommendations to a client, either upon its request or at the initiative of the investment firm, in respect of one or more transactions relating to financial instruments;

  • Evaluate means the UCRC evaluating the results of the Pilot Program and reporting those results to Reclamation.

  • JPC means Joint Planning Committee.

  • Evaluation Team means the team appointed by the City; “Information Meeting” has the meaning set out in section 2.2;

  • Resolution of Directors means either:

  • the Academy Trust means the company intended to be regulated by these Articles and referred to in Article 2;

  • Committees means Committees of the Board for the time being in force.

  • Reliable Evidence means only published reports and articles in the authoritative medical and scientific literature; the written protocol or protocols used by the treating facility or the protocol(s) of another facility studying substantially the same drug, device, medical treatment or procedure; or the written informed consent used by the treating facility or by another facility studying substantially the same drug, device, medical treatment or procedure.

  • Governing board of the agreement means the governing board of the agreement

  • Executive Committee means a group of directors elected or appointed to act on behalf of, and within the powers granted to them by, the Commission.

  • Legitimate law enforcement purpose means a goal within the lawful authority of an officer that is to be achieved through methods or conduct condoned by the officer’s appointing authority.

  • Development Purposes means using the Software for the specific purpose of (a) developing, (b) single-user prototyping, quality assurance or testing and/or

  • JDC has the meaning set forth in Section 3.2.

  • the Academies means all the schools and educational institutions referred to in Article 4a and operated by the Academy Trust (and “Academy” shall mean any one of those schools or educational institutions);

  • Audit Committee means the audit committee of the board of directors of the Company established pursuant to the Articles, or any successor committee.

  • Advice shall have the meaning set forth in Section 6(d).

  • Compliance Committee means the committee referenced under the Federated Code of Business Conduct and Ethics, consisting of, among others, the Chief Compliance Officer, the General Counsel, the Chief Audit Executive and the Chief Risk Officer.