Advisory Accounts Sample Clauses

Advisory Accounts. Schedule 3.20 sets forth a true, complete and correct list, as of December 31, 2003, of all of the investment advisory accounts of Clients, specifying for each such account the following information:(a) the aggregate market value of the assets under management held in each account, determined as of December 31, 2003, (b) the fee rate charged by the Company applicable to each account, (c) the annualized revenues to be earned by the Company from each account (determined as the product of clause (a) multiplied by clause (b) for a 12 month period), (d) any fee adjustments or net withdrawals (except for (i) payroll distributions from the municipal accounts and (ii) regularly scheduled monthly withdrawals, whether determined from income, total return, market value or another formula; provided that unit trust payments made pursuant to IRS formulas shall be scheduled) or deposits with respect to each account during 2003 or 2004 and (e) any investment restrictions or guidelines with respect to such account. There are no Contracts in effect pursuant to which the Company has capped, waived or reimbursed or will under any circumstances cap, waive or reimburse any or all fees payable by its Clients.
Sample 1
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Advisory Accounts. In certain limited and clearly specified cases, we and our Agents or Affiliates may, at your request, refer you to an investment advisor or advisors to manage an advisory account for you (“your Advisory Account”). You may also separately contract with an investment advisor selected solely by you (such investment advisor, together with any investment advisor we or our Agents or Affiliates may refer, are collectively referred to as “your Advisor”). Once your Advisory Account has been established, any advice, recommendation, and/or trading by your Advisor concerning any particular security, transaction, or investment is the responsibility of your Advisor, whether or not your Advisor’s recommendations or advice are followed by you or whether or not your Advisor has discretion to manage your Advisory Account, and we and our Agents and Affiliates specifically disclaim responsibility or liability for any such advice, recommendations, or trading. To the extent that you have an Account(s) with us in addition to your Advisory Account, you assume full responsibility with respect to transactions and investment decisions for your Account(s), notwithstanding any advice or recommendation you may receive in connection with your Advisory Account. If you use any advice or recommendation provided to you for your Advisory Account to make investment decisions for your other Account(s), or if you base your investment decisions on any tools that are made available to you in connection with your Advisory Account, neither we nor our Agents and Affiliates will be liable for such investment decisions. You agree that, with respect to your Advisory Account, you will be legally bound by the terms of this Agreement and the relevant advisory agreement.
Sample 1
Advisory Accounts. If your Retirement Account is enrolled (or subsequently becomes enrolled) in an advisory account program with your broker/dealer, you authorize NFS to deduct from your Retirement Account fees for financial advisory services rendered to you by your Broker, Financial Advisor, or Investment Professional (herein, “Investment Professional”) in connection with your Retirement Account, and as described in your IRA Custodial Agreement and Disclosure Statement or your Retirement Plan and Trust Agreement, as applicable. You represent that you have reviewed the financial advisory fees with your Investment Professional. You understand that the determination of whether any financial advisory fees paid to your broker/dealer and/or Investment Professional are reasonable for the services provided to you by your broker/dealer and/or Investment Professional is your sole responsibility, and that NFS and the IRA Custodian are not parties to any written agreements you have entered into with your broker/dealer and Investment Professional which allows for financial advisory fees to be charged by your Investment Professional. You acknowledge and agree that neither NFS nor the IRA Custodian will incur any liability for the payment of financial advisory fees to your Investment Professional, and you authorize NFS to accept instructions from your broker/dealer or Investment Truist Investment Services, Inc. (“TIS”) is a wholly owned subsidiary and affiliate of Truist Financial Corporation (“TFC”) a bank holding company. Truist Bank is another wholly owned subsidiary and affiliate of TFC and affiliate of TIS. Truist Bank is a North Carolina state chartered bank. Deposits with Truist Bank are eligible for FDIC insurance up to applicable limits. All deposit and other banking products, including TIS Sweep Program deposits, are offered through Truist Bank and not TIS. TIS is not a bank and is a separate legal entity from any affiliated bank. TIS is registered with the Securities and Exchange Commission as a broker/dealer and introduces certain customers and transactions to its Clearing Firm. XXX is also a member of the SIPC and FINRA. Assets in Brokerage Accounts are not deposits of any bank. Therefore, your Brokerage Account is not insured by the FDIC and is not a deposit or other obligation of or guaranteed by TFC or any of its banks or other subsidiaries. Truist Advisory Services, Inc. (“TAS”) is another wholly owned subsidiary and affiliate of TFC and an affiliate of TIS. TAS is regist...
Sample 1
Advisory Accounts. If your Retirement Account is enrolled (or subsequently becomes enrolled) in an advisory account program with your broker/dealer, you authorize NFS to deduct from your Retirement Account fees for financial advisory services rendered to you by your Broker, Financial Advisor, or Investment Professional (herein, “Investment Professional”) in connection with your Retirement Account, and as described in your XXX Custodial Agreement and Disclosure Statement or your Retirement Plan and Trust Agreement, as applicable. You represent that you have reviewed the financial advisory fees with your Investment Professional. You understand that the determination of whether any financial advisory fees paid to your broker/dealer and/or Investment Professional are reasonable for the services provided to you by your broker/dealer and/or Investment Professional is your sole responsibility, and that NFS and the XXX Custodian are not parties to any written agreements you have entered into with your broker/dealer and Investment Professional which allows for financial advisory fees to be charged by your Investment Professional. You acknowledge and agree that neither NFS nor the XXX Custodian will incur any liability for the payment of financial advisory fees to your Investment Professional, and you authorize NFS to accept instructions from your broker/dealer or Investment Professional as to the amount and timing of the payment of financial advisory fees and to debit your account to pay such fees to your Investment Professional on your behalf. You understand your broker/dealer is able to charge fees in addition to or in lieu of those described herein, and that it is your obligation to ensure you comply with the XXX contribution, distribution, and prohibited transactions rules. You understand that the financial advisory fees will be paid from the core account of your Retirement Account as described in this Customer Agreement. You understand this authorization will remain in effect until it is terminated by you, your broker/dealer or by NFS (or its agents, affiliates, or successors) in writing. You acknowledge and agree such termination shall not affect any obligation or liability arising prior to termination. NFS shall be entitled to rely conclusively upon any financial advisory fee instruction or direction received by your broker/dealer or Investment Professional and NFS, the XXX Custodian and your broker/dealer shall be indemnified for any action or inaction with respect to honorin...
Sample 1

Related to Advisory Accounts

  • Management Accounts The Management Accounts:

  • Primary Accounts Borrower will maintain its primary depository and operating accounts with Bank.

  • Operating Accounts (a) Maintain all of Borrower’s and its Subsidiaries’ Collateral Accounts in accounts which are subject to a Control Agreement in favor of Collateral Agent.

  • Project Accounts The Grantee agrees to establish and maintain for the Project either a separate set of accounts or accounts within the framework of an established accounting system, in a manner consistent with 49 C.F.R. § 18.20, or 49 C.F.R. § 19.21, as amended, whichever is applicable.

  • Investment Accounts Schedule 2 sets forth under the headings “Securities Accounts” and “Commodity Accounts”, respectively, all of the Securities Accounts and Commodity Accounts in which such Grantor has an interest. Except as disclosed to the Administrative Agent, such Grantor is the sole entitlement holder of each such Securities Account and Commodity Account, and such Grantor has not consented to, and is not otherwise aware of, any Person (other than the Administrative Agent) having “control” (within the meanings of Sections 8-106 and 9-106 of the UCC) over, or any other interest in, any such Securities Account or Commodity Account or any securities or other property credited thereto;

  • Depository Accounts Except to the extent that Manager has not complied with its obligations under Sections 2.4 and 5.2, Owner and Manager agree that Manager shall have no liability for loss of funds of Owner contained in the bank accounts for the Property maintained by Owner or Manager pursuant to this Agreement due to insolvency of the bank or financial institution in which its accounts are kept, whether or not the amounts in such accounts exceed the maximum amount of federal or other deposit insurance applicable with respect to the financial institution in question.

  • Special Accounts 1. For the purposes of this Schedule:

  • Lock-Box Accounts The names and addresses of all of the Lock-Box Banks, together with the account numbers of the Lock-Box Accounts at such Lock-Box Banks, are specified in Schedule 6.1(n).

  • Checking Accounts The Credit Union may refuse any check or other item drawn against your account or used to withdraw funds from your account if it is not on a form approved by us. We also reserve the right to refuse any check or other item drawn against your account or used to withdraw funds from your account if made in a manner not specifically authorized for your account, if made more frequently or in a greater number than specifically permitted for your account, or if made in an amount less than the minimum withdrawal or transfer specifically permitted for your account. If we accept a check or other item not on a form approved by us, you will be responsible for any loss by us in handling the item. We may pay checks or other items drawn upon your account in any order determined by us, even if paying a particular check or item results in an insufficient balance in your account to pay one or more other items that otherwise could have been paid out of your account. Because of the nature of the Credit Union check program, neither the Credit Union nor any other processing entities shall be responsible for the authenticity of the checks with regard to the signature or alterations; and checks, when presented, shall be paid without verification. We may disregard all information on or any writing or memorandum attached to any check or item except for your signature, the amount and the information that is magnetically encoded. You agree that we do not fail to use ordinary care because our procedures do not provide for sight examination. You will notify us immediately if you learn or have reason to know that any of your checks have been lost or stolen. If you are negligent in safeguarding your checks or if there is a processing problem due to your use of a check printer we do not approve, we will not have any liability or responsibility for any losses you incur as a result if we act in good faith pursuant to standard commercial practices.

  • Investment of Accounts (a) To the extent there are uninvested amounts deposited in the Series Accounts, the Issuer shall cause such amounts to be invested in Permitted Investments selected by the Issuer that mature no later than the immediately preceding Transfer Date.

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