Sentences with phrase «in any fiduciary capacity with»

It's not acting in any fiduciary capacity with respect to any contract and / or investment.

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 herein.

Not exact matches

However, consistent with the Rollover Opinion's reliance on the Supreme Court decision of Varity v. Howe [1], many believed that an advisor engaged to provide plan - level fiduciary services, would not be acting as a fiduciary when acting in a wholly separate non-fiduciary capacity, such as selling personal rollover services unrelated to its status as a plan fiduciary.

The other side of that coin is that the Crown, in its capacity as fiduciary for the First Nation's assets should be providing regular reports to the First Nation, much as any other person with a «trust - like» responsibility is expected to report to the would - be beneficiary.

Funds held in trust include funds held in any fiduciary capacity in connection with a representation, whether as trustee, agent, guardian, executor or otherwise.

Apart from the likelihood of that being very remote, with all those years of experience, it escapes him that, rather than attach himself to the seller in a fiduciary capacity he could say, you know Mr. & Mrs seller, I have a client for this property, my duty right now is to them, so I will not represent you but I will be thrilled if you would allow me to bring an offer from my buyer for X fee.

In this capacity, the agent is working for the transaction, but has not entered into a fiduciary relationship with either party.

The IRS enforces very strict laws that prohibit you from using your real estate IRA to transact directly with yourself, your spouse, your children, grandchildren, parents or grandparents or those of your spouse, as well as any advisor who works with you on your real estate IRA in a fiduciary capacity.