Initial Advice. You will be liable to pay for any advice or services that you have received prior to the date of termination. This means that where we have agreed the advice and services that we will provide for you and we have agreed to receive payment for these, by means of a fee, you will have to pay us for any work we have completed up to the date of termination.

Initial Advice. You have instructed us to act for you and perform the duties outlined in our Client Agreement. In summary we will: • Gather all relevant personal information, including details of your finances, your needs and financial objectives. • Analyse the information gathered in detail against your stated objectives and research possible solutions. • Provide a detailed report of your situation to include our recommendations. • Work with you and any relevant product providers or lenders to ensure the recommendations are implemented. On-going As part of the initial work we have agreed to provide an on-going service to include: • Maintenance of your files. • Reviewing the continuing appropriateness of products in place. • A periodic review of the underlying investments to assess their continuing appropriateness having regard to your circumstances. • To provide a written summary of our recommendations at that time (although it will be your decision whether to instruct us to take all or any action proposed). • To liaise with product providers to implement any changes or switches agreed between us. Full details of the exact services available and their frequency are contained in the relevant Service Proposition document provided to you separately. Remuneration & Charges For the initial work we have agreed an adviser charge of: A fixed fee of £ In line with the Table of Charges in the Cost of our Services. (see recommendation report(s) for full details) % of the amount invested. For the on-going service we have agreed an annual charge of: % of the value of your funds held through our agency each year. (see recommendation report(s) for full details) The annual servicing charge is non-refundable, even if you do not choose to use the services that we have offered to you and any remuneration resulting remains the property of Optimum Independent Financial Advisers Limited. This does not affect your rights to terminate this agreement at any time.

See All (4)

Initial Advice this means the financial advice we give you whenever you begin investing via a Nationwide Financial Adviser. Further information about our Initial Advice service is shown in the Advised Tariff of Charges.

Initial Advice. We charge a fee for the preparation of our strategy report and the implementation of the recommended solutions. The fee can be split into two elements, the strategy fee, which covers the costs associated with generating the strategy report, and the implementation fee, which covers the costs associated with implementing the recommended plans or arrangements. If the strategy report does not recommend a new product, or a transfer into an existing product or you decide not to proceed further, no implementation fee will be payable, only a strategy fee is payable. If a new product, or transfer into an existing product, is recommended in the strategy report and you proceed with the recommendation, the strategy fee may be offset by the implementation fee.

Related to Initial Advice

Legal Advice On issues that are legal in nature, the Manager will be entitled to receive and act upon the advice of legal counsel of its own selection, which can be counsel for the Trust, and will be without liability for any action taken or thing done or omitted to be done in accordance with this Management Agreement in good faith conformity with such advice.
Confidential Advice None of any advice rendered by Xxxxxx Xxxxxxx to the Company or any communication from Xxxxxx Xxxxxxx in connection with the services performed by Xxxxxx Xxxxxxx pursuant to this Agreement will be quoted or referred to orally or in writing, or reproduced or disseminated, by the Company or any of its affiliates or any of their agents to any third party, without Xxxxxx Xxxxxxx’x prior written consent (which consent shall not be unreasonably withheld, conditioned or delayed), except (i) the Company may disclose the foregoing to any regulatory authority in response to a regulatory proceeding, process, inquiry or request, so long as the Company gives Xxxxxx Xxxxxxx prompt notice, as reasonably practicable under the circumstances, thereof unless in the reasonable opinion of the Company’s counsel it is not legally able to do so, (ii) to the extent otherwise required by law, judicial process or applicable regulation (after consultation with, and approval (not to be unreasonably withheld, conditioned or delayed) as to form and substance by, Xxxxxx Xxxxxxx and its counsel, unless in the reasonable opinion of the Company’s counsel it is not legally able to so consult) and (iii) on a confidential need-to-know basis, to the Fund and its officers and trustees and their legal counsel, auditors and other advisors. This confidentiality provision will terminate eighteen months from the date first written above.
Professional Advice The acceptance of the Options and the sale of Common Stock issued pursuant to the exercise of Options may have consequences under federal and state tax and securities laws which may vary depending upon the individual circumstances of the Optionee. Accordingly, the Optionee acknowledges that he or she has been advised to consult his or her personal legal and tax advisor in connection with this Agreement and his or her dealings with respect to Options. Without limiting other matters to be considered with the assistance of the Optionee’s professional advisors, the Optionee should consider: (a) whether upon the exercise of Options, the Optionee will file an election with the Internal Revenue Service pursuant to Section 83(b) of the Code and the implications of alternative minimum tax pursuant to the Code; (b) the merits and risks of an investment in the underlying shares of Common Stock; and (c) any resale restrictions that might apply under applicable securities laws.
No Legal Advice Client further agrees and understands that although documents and filings prepared by GPT are reviewed by its General Counsel, GPT has not and does not render legal advice or offer legal assistance. All requests for legal advice by Client will be referred to legal counsel for a proper legal opinion. Accordingly, no statements or representations by GPT should be construed to be legal advice, and GPT advises Client to always consult with own its attorney regarding the legalities of all investment offerings, registrations and filings.
Independent Legal Advice Each of the Parties hereby acknowledges that it has been afforded the opportunity to obtain independent legal advice and confirms by the execution and delivery of this Agreement that they have either done so or waived their right to do so in connection with the entering into of this Agreement.
Advice a. The Purchaser hereby confirms and represents to the Assignee that the Purchaser has sought obtained and relied upon his own independent advice and judgment and has not relied upon any representation statement or advice from the Assignee, the Assignee’s Solicitors or the Auctioneer or any of them or their respective agents, officers or servants.
No Tax or Legal Advice Such Purchaser understands that nothing in this Agreement, any other Transaction Document or any other materials presented to such Purchaser in connection with the purchase and sale of the Securities constitutes legal, tax or investment advice. Such Purchaser has consulted such legal, tax and investment advisors as it, in its sole discretion, has deemed necessary or appropriate in connection with its purchase of Securities.
Independent Advice Each Purchaser understands that nothing in this Agreement or any other materials presented by or on behalf of the Company to the Purchaser in connection with the purchase of the Securities constitutes legal, tax or investment advice. The Company acknowledges and agrees that the representations contained in this Section 3.2 shall not modify, amend or affect such Purchaser’s right to rely on the Company’s representations and warranties contained in this Agreement or any representations and warranties contained in any other Transaction Document or any other document or instrument executed and/or delivered in connection with this Agreement or the consummation of the transactions contemplated hereby. Notwithstanding the foregoing, for the avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, except as set forth in this Agreement, with respect to locating or borrowing shares in order to effect Short Sales or similar transactions in the future.
No Legal Advice From the Company The Investor acknowledges that it had the opportunity to review this Agreement and the transactions contemplated by this Agreement with his or its own legal counsel and investment and tax advisors. The Investor is relying solely on such counsel and advisors and not on any statements or representations of the Company or any of its representatives or agents for legal, tax or investment advice with respect to this investment, the transactions contemplated by this Agreement or the securities laws of any jurisdiction.
Representation by Legal Counsel Each Party hereto represents that it has been represented by legal counsel in connection with this Agreement and acknowledges that it has participated in the drafting hereof. In interpreting and applying the terms and provisions of this Agreement, the Parties agree that no presumption shall exist or be implied against the Party which drafted such terms and provisions.

Initial Advice Sample Clauses

Filter & Search

Related Clauses

Parent Clauses

Sub-Clauses

Related to Initial Advice