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Restricted Advice definition

Restricted Advice means advice and recommendations we may give you after we have assessed your needs but which does not constitute Independent Advice;
Restricted Advice means advice and recommendations RBCEL may give you after RBCEL has assessed your needs but which does not constitute Independent Advice;
Restricted Advice service. This means that we will advise and make recommendations for you after we have assessed your needs, but we only offer advice on limited types of capital investment or regular investment products, or products from one company or a limited number of companies. We will only make recommendations that we know are suitable for you. Occasions may arise where we or one of our clients have some form of interest in business being transacted by you. If this happens or we become aware that our interests or those of one of our clients conflict with your interests, we will write to you and obtain your consent before we carry out your instructions, and detail the steps we will take to ensure fair treatment. We are committed to providing the highest standard of financial advice and service. Your interests are very important to us and for any advice or service we provide we will:  be open, honest and transparent in the way we deal with you.  not place our interests above yours.  communicate clearly, promptly and without jargon.  In most cases you can exercise a right to cancel by withdrawing from the contract. In most cases you will have a 30 day cancellation period for life assurance policies; pure protection insurance policies; payment protection insurance policies, or pension contracts and a 14 day cancellation period for all other contracts.  Instructions for exercising the right to cancel, if applicable, will be contained in the relevant product disclosure information which will be issued to you. If you cancel a single premium contract, you may be required to pay for any loss you might reasonably incur in cancelling it which is caused by market movements. This means that, in certain circumstances, you might not get back the full amount you invested if you cancel the arrangement.

Examples of Restricted Advice in a sentence

  • As we predominantly recommend our own investment services and solutions our investment advice is Restricted Advice under the rules of our regulator the Financial Conduct Authority.

  • Restricted Advice – we will advise and make a recommendation for you after we have assessed your needs, but only offer advice on limited analysis of products, by reference to the products from those companies which we hold an agency.

  • If a Client elects to be provided with the Service of Investment Advice, such Investment Advice will be provided on a Non-Independent Basis as such advice will not be based on a broad, but on a more restricted analysis of different types of Financial Instruments, and in particular, the range of Financial Instruments that will be assessed may be limited (Restricted Advice).

  • This advice will be Restricted Advice, as defined by the FCA, which means we will use selected third party providers only and will not consider the full range of providers available for dealing these instruments.

  • We will always obtain your confirmation before any services commence.Any advice from Davy on Retail Investment Products will be Restricted Advice.

  • Any advice from Davy UK on Retail Investment Products, other financial instruments and structured deposits will be Restricted Advice.

  • This advice will be Restricted Advice, as defined by the FCA, which means we will use selected third-party providers only and will not consider the full range of providers available for dealing these instruments.

  • Restricted Advice: Restricted Advisers will provide advice on products from a limited range of carefully selected companies.


More Definitions of Restricted Advice

Restricted Advice. We will assess your needs and then recommend a solution from a limited number of companies, and you may ask for a list of those companies. ✘ NO ADVICE – We will not provide any advice or recommendation.We may ask some questions to help the selection of various solutions, but you will need to make your own choice about how to proceed.

Related to Restricted Advice

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

  • Independent professional advice means advice of an attorney, certified public accountant, actuary, or other licensed professional adviser.

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

  • Medical Advice means any consultation or advice from a Medical Practitioner including the issuance of any prescription or follow-up prescription.

  • Highly restricted personal information means an individual’s photograph or image, social security number, digitized signature, and medical and disability information.

  • Transaction Personal Information has the meaning ascribed thereto in Section 9.1;

  • 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.

  • Teacher or Principal Data means personally identifiable information, as defined in Section 2-d, relating to the annual professional performance reviews of classroom teachers or principals that Vendor may receive from the District pursuant to the Master Agreement.

  • 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;

  • Sensitive Personal Information or “SPI” means the information categories listed at Tex. Bus. & Com. Code § 521.002(2).

  • Restricted Information means any information which is disclosed to one party to this Agreement by the other pursuant to or in connection with this Agreement (whether orally or in writing, and whether or not such information is expressly stated to be confidential or marked as such);

  • Nonpublic Personal Information means nonpublic personal financial information and nonpublic personal health information.

  • Independent Legal Counsel means an attorney or firm of attorneys, selected in accordance with the provisions of Section 1(c) hereof, who shall not have otherwise performed services for the Company or Indemnitee within the last three years (other than with respect to matters concerning the rights of Indemnitee under this Agreement, or of other indemnitees under similar indemnity agreements).

  • Restricted Global Note means a Global Note bearing the Private Placement Legend.

  • Restricted Client means any person:

  • Confidential personal information means any and all information or data protected by Privacy Laws, including (without limitation) information or data that: (a) is personal information or information about an identifiable individual (as more particularly defined in the applicable Privacy Laws) that was collected, used, disclosed or accessible to such party; or (b) is information from which an individual or individual’s identity can be ascertained either from the information itself or by combining the information with information from other sources available to the parties.

  • Restrictive procedures means the use of physical holding or seclusion of children with disabilities in an emergency. Because the special education director reported the district intends to continue the use of physically holding children with disabilities in an emergency, the district is required to maintain and make publicly accessible a restrictive procedures plan (RPP) for children with disabilities. Minnesota Statute requires that the plan must, at least, list the restrictive procedures the school intends to use; describe how the school will monitor and review the use of restrictive procedures; and include a written description and documentation of the training school personnel completed.

  • Company Personal Data means any Personal Data Processed by a Contracted Processor on behalf of Company pursuant to or in connection with the Principal Agreement;

  • Sensitive Personal Data * means personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, and the processing of genetic data, biometric data, data concerning health, an individual’s sex life or sexual orientation and an individual’s criminal convictions.

  • Restricted Transaction means any of the following transactions or transmit- tals involving any credit, funds, instru- ment, or proceeds that the Act pro- hibits any person engaged in the busi- ness of betting or wagering (which does not include the activities of a financial transaction provider, or any inter- active computer service or tele- communications service) from know- ingly accepting, in connection with the participation of another person in un- lawful Internet gambling—

  • Transfer Restricted Global Notes means Global Notes that bear or are required to bear or are subject to the Restricted Notes Legend.

  • Non-Public Personal Information about a Shareholder shall mean (i) personally identifiable financial information; (ii) any list, description, or other grouping of consumers that is derived from using any personally identifiable information that is not publicly available; and (iii) any other information that the Transfer Agent is prohibited from using or disclosing pursuant to Regulation S-P under Section 504 of the Gramm Xxxxx Xxxxxx Act.

  • Restricted Global Notes means the Rule 144A Global Notes and the Regulation S Global Notes, all of which shall bear the Private Placement Legend.

  • Restricted Broker-Dealer Any Broker-Dealer which holds Broker-Dealer Transfer Restricted Securities.

  • Confidential Data used in connection with their businesses. “Personal Data” means (i) a natural person’s name, street address, telephone number, e-mail address, photograph, social security number or tax identification number, driver’s license number, passport number, credit card number, bank information, or customer or account number; (ii) any information which would qualify as “personally identifying information” under the Federal Trade Commission Act, as amended; (iii) “personal data” as defined by GDPR; (iv) any information which would qualify as “protected health information” under the Health Insurance Portability and Accountability Act of 1996, as amended by the Health Information Technology for Economic and Clinical Health Act (collectively, “HIPAA”); (v) any “personal information” as defined by the California Consumer Privacy Act (“CCPA”); and (vi) any other piece of information that allows the identification of such natural person, or his or her family, or permits the collection or analysis of any data related to an identified person’s health or sexual orientation. There have been no breaches, violations, outages or unauthorized uses of or accesses to same, except for those that have been remedied without material cost or liability or the duty to notify any other person, nor any incidents under internal review or investigations relating to the same. The Company and its subsidiaries are presently in material compliance with all applicable laws or statutes and all judgments, orders, rules and regulations of any court or arbitrator or governmental or regulatory authority, internal policies and contractual obligations relating to the privacy and security of IT Systems, Confidential Data, and Personal Data and to the protection of such IT Systems, Confidential Data, and Personal Data from unauthorized use, access, misappropriation or modification.

  • Confidential or Proprietary Information means any secret, confidential or proprietary information of the Company or an affiliate (not otherwise included in the definition of a Trade Secret under this Employment Agreement) that has not become generally available to the public by the act of one who has the right to disclose such information without violation of any right of the Company or its affiliates.