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 amend
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 amend
act 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 exem
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 exem
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 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.S
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.S
investment 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 reason
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 reason
investment 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 investment
investment adviser under the
Investment Advisers Act of 1940 and uses Apex Clearing Corporation as broker / dealer for Wealthsimple investment
Investment 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 here
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 here
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 herein.
The
Adviser is registered with the SEC
as an
investment adviser under the Investment Advisers Act of 1940, a
investment adviser under the
Investment Advisers Act of 1940, a
Investment 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.