Financial Advisory and Intermediary Services Act Sample Clauses

Financial Advisory and Intermediary Services Act. This Act controls the activities of anybody who gives advice or provides intermediary services to investors about certain financial products. It requires that such persons be licensed and that professional behavior be controlled through codes of conduct.
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Financial Advisory and Intermediary Services Act. This act applies to any advice given in relation to this investment. It also governs any form of intermediary services between you and Xxxxx Xxxx. CONTACT DETAILS
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Financial Advisory and Intermediary Services Act. 37 OF 2002 “FAIS” – REGULATORY DISCLOSURES About the Financial Service Provider “FSP” Full name, registration number and FSP Number. First National Bank (FNB), a division of FirstRand Bank Limited Registration No. 1929/001225/06. FSP No. 3071, FSP No. 624, FSP No. 3075, FSP No. 20081. Physical and Postal Address 6th Floor, 0 Xxxxx Xxxxx, Xxxxxxxx Xxxxxx, Bankcity, 2001 P O Box 1153, Johannesburg, 2000 Contact details for general enquiries Tel – 0000 00 00 00/ +00 00 000 0000 (International) Our website for FNB Compliance officer XxxxxxXXXX@xxx.xx.xx Complaints Tel – 000 000 0000 Email – xxxx@xxx.xx.xx FNB App – “Have your say” under the Information icon ▪ RMB Private Bank products are offered under FSP 624 which is the FNB Premium license. Reference is therefore made to FNB as the FSP license holder. ▪ FNB’s FSPs are approved as a FAIS Category I, and/or II and/or III licensees. FNB is authorized by the Financial Sector Conduct Authority (FSCA) to provide FAIS financial services under the abovementioned licence categories. For a full list of product sub-categories and conditions and restrictions applicable to the above FSPs, please go to xxxxx://xxx.xxxx.xx.xx/Fais/Search_FSP.htm. FNB confirms the following: ▪ FNB holds the prescribed professional indemnity insurance. ▪ There is an agreement between FNB and the insurer to sell and service this product and FNB receives a fee for doing this. ▪ FNB holds relationships with the FirstRand group of companies and external product suppliers, more details will be provided at product take up. ▪ FNB takes responsibility for the actions of its authorized representatives insofar as they are providing financial services (some of whom may be providing FAIS financial services under supervision). ▪ The contact details of the FAIS Ombud are published on our website at xxx.xxx.xx.xx and in our product terms and conditions. You can also contact us on 000 000 0000 to get this information. You can request assistance from the Ombud if you believe that your complaint has not been resolved satisfactorily by us within 6 weeks of lodging your complaint. You need to refer the dispute to the Ombud within 6 months of the issue remaining unresolved with FNB. ▪ FNB is a Financial Services Provider in terms s3A(2)(a) of the FAIS General Code of Conduct and is required to have a Conflict of Interest Policy. A copy of the FirstRand FAIS Conflict of Interest Policy, that also covers these FSPs, can be found on the FirstRand website at xxxxx:...
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Financial Advisory and Intermediary Services Act. This act applies to any advice given relating to this investment. It also governs any form of intermediary services between you and the Administrator. CONTACT DETAILS Administrator: Xxxxx Xxxx Investment Services Proprietary Limited (Registration number: 2004/015145/07) Postal and physical addresses of the head office and contact details of the Client Service Centre: Physical address: 0 Xxxx Xxxxxx V&A Waterfront Cape Town 8001 T: 0860 000 654 or +00 (0)00 000 0000 F: 0860 000 655 or +00 (0)00 000 0000 Postal address: P O Box 51605 V&A Waterfront Cape Town 8002 E: xxxx@xxxxxxxxx.xx.xx W: xxx.xxxxxxxxx.xx.xx COMPLAINTS If you are not satisfied with this investment or the services from the Administrator, you can write to the compliance officer at the address above. Remember to include all supporting documents. The Administrator will acknowledge the complaint in writing and will inform you of the contact details of the person who should be able to resolve it. If you are not satisfied with the response from the Administrator or the compliance officer, or if you have a complaint about the advice given by a financial adviser in respect of this investment, you can write to the Ombud for Financial Services Providers. The Ombud has the legal power to investigate and give a ruling on a complaint in a fair, economical and prompt manner. Postal address: The Ombud for Financial Services Providers P O Box 74571, Lynnwood Ridge 0040 Toll-free: 0860 324 766 E: xxxx@xxxxxxxxx.xx.xx 0 Xxxx Xxxxxx V&A Waterfront Cape Town 8001 South Africa P O Box 51605 V&A Waterfront Cape Town 8002 South Africa Client Service Centre T 0860 000 654 or +00 (0)00 000 0000 F 0860 000 655 or +00 (0)00 000 0000 E xxxx@xxxxxxxxx.xx.xx
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Financial Advisory and Intermediary Services Act. This act applies to any advice given relating to this investment. It also governs any form of intermediary services between you and the Administrator. UNCLAIMED ASSETS Xxxxx Xxxx may determine that your Investment Account is an unclaimed asset following a trigger event, which may include your investment remaining dormant, or Xxxxx Xxxx being unable to contact you or your beneficiary(s) using contact details on record. Xxxxx Xxxx may appoint tracing agents or similar third-party service providers to locate you or your beneficiary(s). Your Investment Account will only be considered an unclaimed asset after a reasonable period has passed, but not more than three years following the trigger event. Any attempts to locate you or your beneficiary(s) may require the processing of your personal information. Any reasonable costs incurred in attempting to locate you or your beneficiary(s) may be deducted from the value of your Investment Account on an ongoing basis or when you or your beneficiary(s) have been located. No changes will be made to your Investment Account once it is determined to be an unclaimed asset. Any growth earned will continue to be added to your Investment Account.
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Financial Advisory and Intermediary Services Act. This act controls the activities of anybody who gives advice or provides an intermediary service to investors on financial products. Financial Intelligence Centre Act This act requires that the Administrator obtains certain information to verify your identity before we process your application. The purpose of this act is to prevent money laundering and terrorist financing. Income Tax Act This act applies where we refer to taxation. Exchange Control Regulations The availability of certain Portfolios is subject to these regulations. The Long -term insurance Act Linked Endowment products are governed under this act. Protection of Personal Information Act This act regulates the usage and distribution of Personal Information How does the Protection of Personal Information Act 4 of 2013 (POPIA) affect your investment?
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Related to Financial Advisory and Intermediary Services Act

  • Financial Advisors No Person has acted, directly or indirectly, as a broker, finder or financial advisor for Purchaser in connection with the transactions contemplated by this Agreement and no Person is entitled to any fee or commission or like payment in respect thereof.

  • Investment Advisory Services The Adviser undertakes to act as investment adviser of the Portfolio and shall, subject to the supervision of the Fund's Board of Trustees, direct the investments of the Portfolio in accordance with the investment objective, policies and limitations as provided in the Portfolio's Prospectus or other governing instruments, as amended from time to time, the Investment Company Act of 1940 and rules thereunder, as amended from time to time (the "1940 Act"), and such other limitations as the Portfolio may impose by notice in writing to the Adviser. The Adviser shall also furnish for the use of the Portfolio office space and all necessary office facilities, equipment and personnel for servicing the investments of the Portfolio; and shall pay the salaries and fees of all officers of the Fund, of all Trustees of the Fund who are "interested persons" of the Fund or of the Adviser and of all personnel of the Fund or the Adviser performing services relating to research, statistical and investment activities. The Adviser is authorized, in its discretion and without prior consultation with the Portfolio, to buy, sell, lend and otherwise trade in any stocks, bonds and other securities and investment instruments on behalf of the Portfolio. The investment policies and all other actions of the Portfolio are and shall at all times be subject to the control and direction of the Fund's Board of Trustees.

  • Financial Advisor No broker, finder or investment banker is entitled to any brokerage, finder’s or other fee or commission in connection with the Merger or any of the other Contemplated Transactions based upon arrangements made by or on behalf of Parent.

  • Advisory Services The Advisor shall act as investment advisor for the Funds and shall, in such capacity, supervise all aspects of the Funds' operations, including the investment and reinvestment of cash, securities or other properties comprising the Funds' assets, subject at all times to the policies and control of the Board of Trustees. The Advisor shall give the Trust and the Funds the benefit of its best judgment, efforts and facilities in rendering its services as investment advisor.

  • Brokers, Finders and Financial Advisors No broker, finder or financial advisor has acted for Purchaser in connection with this Agreement or the transactions contemplated hereby or thereby, and no broker, finder or financial advisor is entitled to any broker’s, finder’s or financial advisor’s fee or other commission in respect thereof based in any way on any contract with Purchaser.

  • Investment Subadvisory Services Subject to the supervision of the applicable Company’s Board of Directors (“Board”) and the Adviser, the Subadviser shall act as the investment subadviser and shall supervise and direct the investments of each Fund specified by the Adviser from time to time in accordance with the Fund’s investment objective(s), policies, and restrictions as provided in the Fund’s Prospectus and Statement of Additional Information, as currently in effect and as amended or supplemented from time to time (hereinafter referred to as the “Prospectus”), and such other limitations as the Fund or Adviser may impose by notice in writing to the Subadviser. The Subadviser shall obtain and evaluate such information relating to the economy, industries, businesses, securities markets, and securities as it may deem necessary or useful in the discharge of its obligations hereunder and shall formulate and implement a continuing program for the management of the assets and resources of each Fund allocated to the Subadviser in a manner consistent with the Fund’s investment objective(s), policies, and restrictions. In furtherance of this duty, Subadviser, on behalf of each Fund is authorized to:

  • Opinions of Financial Advisors The Fund has received the opinion of Wachovia Capital Markets, LLC (“Wachovia”) financial advisor to the Fund, to the effect that, as of the date hereof, the Merger Consideration is fair from a financial point of view to the Partners. The Fund shall promptly deliver a copy of the written opinion of Wachovia to the Company. It is agreed and understood that such opinion is for the sole benefit of the Fund and may not be relied upon by the Company or Acquisition LLC (except by operation of law following the Effective Time) or any other person.

  • Subadvisory Services In its capacity as subadviser to the Fund, the Subadviser shall have the following responsibilities:

  • Investment Sub-Advisory Services Sub-Adviser shall serve as investment sub-adviser and shall supervise and direct the investments of each series of Penn Series listed on Exhibit A attached hereto (each, a “Fund”), as such Exhibit may be amended by mutual agreement of the parties hereto, and to exercise all rights incidental to ownership in accordance with the investment objectives, program and restrictions applicable to the Fund as provided in Penn Series’ Prospectus and Statement of Additional Information (“SAI”), as amended from time to time, and such other limitations as may be imposed by law or as Penn Series or Adviser may impose with notice in writing to Sub-Adviser. To enable Sub-Adviser to fully exercise its discretion, Adviser hereby appoints Sub-Adviser as agent and attorney-in-fact for the Fund with full power and authority to buy, sell and otherwise deal in securities and contracts for the Fund. No investment will be made by Sub-Adviser for the Fund if the investment would violate the investment objectives, investment restrictions or limitations of the Fund set out in the Prospectus and the SAI delivered to the Sub-Adviser and as may be amended and delivered to Sub-Adviser in the future. Sub-Adviser shall not take custody of any assets of Penn Series, but shall issue settlement instructions to the custodian designated by Penn Series (the “Custodian”). Sub-Adviser shall, in its discretion, obtain and evaluate such information relating to the economy, industries, businesses, securities markets and securities as it may deem necessary or useful in the discharge of its obligations hereunder and shall formulate and implement a continuing program for the management of the assets and resources of the Fund in a manner consistent with the investment objectives of the Fund. In furtherance of this duty, Sub-Adviser, as agent and attorney-in-fact with respect to Adviser and Penn Series, is authorized, in its discretion and without prior consultation with Adviser or Penn Series, to:

  • Brokers and Financial Advisors Borrower hereby represents that it has dealt with no financial advisors, brokers, underwriters, placement agents, agents or finders in connection with the transactions contemplated by this Agreement. Borrower hereby agrees to indemnify, defend and hold Lender harmless from and against any and all claims, liabilities, costs and expenses of any kind (including Lender’s attorneys’ fees and expenses) in any way relating to or arising from a claim by any Person that such Person acted on behalf of Borrower or Lender in connection with the transactions contemplated herein. The provisions of this Section 10.21 shall survive the expiration and termination of this Agreement and the payment of the Debt.

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