Sentences with phrase «acting as investment adviser»

bots acting as investment adviser and helping build portfolio.

Emerging Global Advisors acts as the investment adviser to the EGShares Funds.

Not exact matches

If your adviser is an investment adviser and governed by the federal Securities and Exchange Commission, the adviser serves as fiduciary to you and must put your interests above his own and act in your best interest.

a person acting on behalf of a fully managed account managed by that person, if that person (i) is registered or authorized to carry on business as an adviser or the equivalent under the securities legislation of a jurisdiction of Canada or a foreign jurisdiction, and (ii) in Ontario, is purchasing a security that is not a security of an investment fund,

All stock recommendations and stock advice are presented as investment ideas and the readers should conduct their own research or check with their investment adviser before acting on any idea presented here.

The Dodd - Frank Act, which itself made matters worse rather than better in the wake of the government - fueled financial downturn of 2008, explicitly empowered the Securities and Exchange Commission (SEC) as the agency to formulate rules relating to investment advisers who offer «personalized investment advice about securities to a retail customer.»

The investment products managed by the firm are open only to investors who are both (i) «accredited investors» as defined in Rule 501 (a) of Regulation D promulgated by the U.S. Securities and Exchange Commission («SEC») pursuant to the Securities Act of 1933, and (ii) «qualified clients,» as defined in Rule 205 - 3 promulgated by the SEC pursuant to the investment advisers act of 1940, as amendAct of 1933, and (ii) «qualified clients,» as defined in Rule 205 - 3 promulgated by the SEC pursuant to the investment advisers act of 1940, as amendact of 1940, as amended.

The rule specifically defines fiduciaries as broker - dealers, investment advisers, insurance agents, plan consultants and other intermediaries to Employee Retirement Income Security Act (ERISA) plans and individual retirement accounts (IRAs).

You agree to promptly notify ChoiceTrade in writing if you are now or if you become: (a) registered or qualified with the Securities Exchange Commission, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as a «registered investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not investment adviser» within the meaning of Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not Investment Advisors Act of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exemAct of 1940 (whether or not registered or qualified under that act); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exemact); or (c) employed by a bank or other organization exempt from registration under federal and / or state securities laws to perform functions that would require you to be so registered or qualified if you were to perform such functions for an organization not so exempt.

While the Investment Manager is registered with the SEC as an investment adviser, it does not comply with the Advisers Act with regard to its non-U.SInvestment Manager is registered with the SEC as an investment adviser, it does not comply with the Advisers Act with regard to its non-U.Sinvestment adviser, it does not comply with the Advisers Act with regard to its non-U.S. clients.

In the realm of investment advice, a registered investment adviser (RIA) is registered with the Securities and Exchange Commission or state securities regulators, has passed examinations, and must act as a fiduciary.

Created by the Investment Company Act of 1940, the boards have a clear mandate to monitor potential conflicts of interest, review and approve key fund documents such as prospectuses, and ensure that advisers provide satisfactory investment returns with reasonInvestment Company Act of 1940, the boards have a clear mandate to monitor potential conflicts of interest, review and approve key fund documents such as prospectuses, and ensure that advisers provide satisfactory investment returns with reasoninvestment returns with reasonable fees.

Wealthsimple US, Ltd. is registered as an investment adviser under the Investment Advisers Act of 1940 and uses Apex Clearing Corporation as broker / dealer for Wealthsimple investmentinvestment adviser under the Investment Advisers Act of 1940 and uses Apex Clearing Corporation as broker / dealer for Wealthsimple investmentInvestment Advisers Act of 1940 and uses Apex Clearing Corporation as broker / dealer for Wealthsimple investmentinvestment accounts.

For purposes of this Agreement, the term «Customer» or «you» shall also refer to your investment adviser or sub-adviser, acting as your agent (if applicable).

The Board consists of four (4) individuals, each of whom are not «interested persons» (as defined under the 1940 Act) of the Trust or any investment adviser to any series of the Trust («Independent Trustees»).

No information contained herein should be regarded as a suggestion to engage in or refrain from any investment - related course of action as none of PIMCO nor any of its affiliates is undertaking to provide investment advice, act as an adviser to any plan or entity subject to the Employee Retirement Income Security Act of 1974, as amended, individual retirement account or individual retirement annuity, or give advice in a fiduciary capacity with respect to the materials presented hereact as an adviser to any plan or entity subject to the Employee Retirement Income Security Act of 1974, as amended, individual retirement account or individual retirement annuity, or give advice in a fiduciary capacity with respect to the materials presented hereAct of 1974, as amended, individual retirement account or individual retirement annuity, or give advice in a fiduciary capacity with respect to the materials presented herein.

The Adviser is registered with the SEC as an investment adviser under the Investment Advisers Act of 1940, ainvestment adviser under the Investment Advisers Act of 1940, aInvestment Advisers Act of 1940, as amended.

The funds, the investment adviser and Schwab have adopted a Code of Ethics as required under the 1940 Act.

Among various other jobs, she cites acting as a senior adviser on environmental issues to Actis, a private equity firm with $ 7.6 billion of investments in India, China and other parts of the developing world.

Marks Baughan acted as financial adviser to ACL on its $ 50 million minority investment from Norwest representing the first time in ACL's history that it has taken outside capital.

They have access to funds immediately within their control (or act as the exclusive investment adviser to an investment fund that has access to funds immediately within its control), and they comply with all the other provisions of the Code of Conduct.

James has acted for life and general insurers investment managers, financial advisers, brokers and other financial services companies and regulators on regulatory, distribution, risk transfer, product development, funds and outsourcing matters as well as mergers and acquisitions.

In this respect, observers should bear in mind that Calunius Capital, which has been authorised and regulated by the Financial Services Authority as an Investment Adviser since June 2007, acts as the adviser to the Calunius Litigation Risk Fund LP («The Calunius Fund»), a # 40 million private fund based in Guernsey.

The team acted for the sellers of the 56 care home properties owned by Minster Care and Croftwood Care that formed the seed portfolio on admission and for Impact Healthcare Partners LLP as Impact's investment adviser

She has represented business at the Prime Minister's immigration stock take meeting and acted as an adviser to the Home Office on business, investment and growth.

Acting as corporate counsel to federally and state registered investment advisers, commodity pool operators, introducing brokers, broker - dealers, trust companies and actuarial firms in their regulatory compliance and contract negotiations

If life insurance will be a part of your long term financial and retirement planning, consider the fact that financial advisers, planners, and experts have reported that, on average and over the long term, whole and term life insurance rates are comparable once you add in the fact that whole life has a cash value feature that acts as an investment.

UBS Investment Bank acted as financial adviser to Campus Acquisitions.

The potential list of players includes real estate brokers, appraisers, engineers and investment banks, who may act as advisers and underwriters.

New York - based Rockwood Realty Associates LLC negotiated the sale on behalf of the seller, Atlanta - based Lend Lease Real Estate Investments Inc., which acted as adviser to one of its private clients.