Investment Consulting Sample Clauses

Investment Consulting. To the extent specifically designated by the CLIENT on the annexed Schedule “A”, the PLANNER may provide the CLIENT with portfolio review and non-discretionary investment consulting services. If so designated, the PLANNER shall review the CLIENT’s existing investment portfolio, and then provide corresponding investment recommendations and advice consistent with the CLIENT’s designated investment objective(s), all of which recommendations and advice shall be based exclusively upon the information provided to the PLANNER by the CLIENT. In the event that a CLIENT’s personal/financial situation or investment objective(s) change, it is the CLIENT’s responsibility to notify the PLANNER accordingly for the purpose of the PLANNER reviewing/evaluating/revising previous recommendations, which follow-up services could be subject to an additional mutually agreed upon fixed- fee or an hourly rate charge. The CLIENT maintains absolute discretion as to whether or not to accept any of the PLANNER’s investment recommendations. PLANNER’s investment consulting service is generally intended to provide limited investment advice. The PLANNER’s investment consulting service does not include investment implementation nor ongoing investment supervision, monitoring, or reporting services. The CLIENT acknowledges that past performance may not be indicative of future results, and understands that the future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended by the PLANNER) may not be profitable or equal historical performance level(s). In the event that the PLANNER is requested to provide consulting services with respect to a retirement plan sponsored by the CLIENT’s employer, the CLIENT acknowledges that the PLANNER’s recommendations shall be limited to the investment alternatives provided by the retirement plan.
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Investment Consulting. To the extent specifically designated by the CLIENT on the annexed Schedule “A”, the PLANNER may provide the CLIENT with portfolio review and non-discretionary investment consulting services. If so designated, the PLANNER shall review the CLIENT’s existing investment portfolio, and then provide corresponding investment recommendations and advice consistent with the CLIENT’s designated investment objective(s), all of which recommendations and advice shall be based exclusively upon the information provided to the PLANNER by the CLIENT. In the event that a CLIENT’s personal/financial situation or investment objective(s) change, it is the CLIENT’s responsibility to notify the PLANNER accordingly for the purpose of the PLANNER reviewing/evaluating/revising previous recommendations, which follow-up services could be subject to an additional mutually agreed upon fixed-fee or an hourly rate charge. The CLIENT maintains absolute discretion as to whether or not to accept any of the PLANNER’s investment recommendations. PLANNER’s investment consulting service is generally intended to provide limited investment advice to those individuals who do not wish to engage the PLANNER for comprehensive ongoing investment advisory services. The PLANNER’s investment consulting service does not include investment implementation nor ongoing investment supervision, monitoring, or reporting services. Should the CLIENT desire comprehensive investment advisory services, the CLIENT may engage the PLANNER to provide same (see paragraph 2(e) of this Agreement). The CLIENT acknowledges that past performance may not be indicative of future results, and understands that the future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended by the PLANNER) may not be profitable or equal historical performance level(s). In the event that the PLANNER is requested to provide consulting services with respect to a retirement plan sponsored by the CLIENT’s employer, the CLIENT acknowledges that the PLANNER’s recommendations shall be limited to the investment alternatives provided by the retirement plan. If the PLANNER provides such service, the PLANNER’s authority shall be limited to the allocation of the Assets among the investment alternatives available through the plan, and, as such, PLANNER will not have, nor will it accept, any authority to effect any other type of transactions or changes via the plan web site, including bu...
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Investment Consulting. To the extent specifically designated by the CLIENT on the annexed Schedule “A”, the PLANNER may provide the CLIENT with portfolio review and non-discretionary investment consulting services. If so designated, the PLANNER shall review the CLIENT’s existing investment portfolio, and then provide corresponding investment recommendations and advice consistent with the CLIENT’s designated investment objective(s), all of which recommendations and advice shall be based exclusively upon the information provided to the PLANNER by the CLIENT. In the event that a CLIENT’s personal/financial situation or investment objective(s) change, it is the CLIENT’s responsibility to notify the PLANNER accordingly for the purpose of the PLANNER reviewing/evaluating/revising previous recommendations, which follow-up services could be subject to an additional mutually agreed upon fixed-fee or an hourly rate charge. The CLIENT maintains absolute discretion as to whether or not to accept any of the PLANNER’s investment recommendations. PLANNER’s investment consulting service is generally intended to provide limited investment advice to those individuals who do not wish to engage the PLANNER for comprehensive ongoing investment advisory services. The PLANNER’s investment consulting service does not include investment implementation nor ongoing investment supervision, monitoring, or reporting services. The CLIENT acknowledges that past performance may not be indicative of future results, and understands that the future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended by the PLANNER) may not be profitable or equal historical performance level(s). In the event that the PLANNER is requested to provide consulting services with respect to a retirement plan sponsored by the CLIENT’s employer, the CLIENT acknowledges that the PLANNER’s recommendations shall be limited to the investment alternatives provided by the retirement plan.
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Related to Investment Consulting

  • 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.

  • Investment Advisor The Buyer is an investment advisor registered under the Investment Advisors Act of 1940.

  • 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:

  • 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:

  • Non-Investment Advisory Services The Fund hereby employs the Manager to provide certain non-investment advisory services for the Portfolio, subject to the direction of the officers and the Board on the terms hereinafter set forth. Specifically, the Manager shall perform or arrange for the performance, as applicable, at its own expense (except as provided in Section 4 or unless otherwise agreed to by the Manager and the Fund, in which case at the Fund’s expense), the following services to the Fund on behalf of the Portfolio to the extent that any such services are not otherwise provided by any other service provider to the Fund:

  • Investment Adviser The Buyer is an investment adviser registered under the Investment Advisers Act of 1940.

  • Investment Advisory Fee For services provided under subparagraph (a) of paragraph 1 of this Agreement, the Advisor agrees to pay the Sub-Advisor a monthly Sub-Advisory Fee. The Sub-Advisory Fee shall be equal to 110% of the Sub-Advisor's costs incurred in connection with rendering the services referred to in subparagraph (a) of paragraph 1 of this Agreement. The Sub-Advisory Fee shall not be reduced to reflect expense reimbursements or fee waivers by the Advisor, if any, in effect from time to time.

  • Investment Advisory Agreement (A) The terms of the Investment Advisory Agreement, including compensation terms, comply in all material respects with all applicable provisions of the 1940 Act and the Advisers Act and (B) the approvals by the board of directors and the stockholders of the Company of the Investment Advisory Agreement have been made in accordance with the requirements of Section 15 of the 1940 Act applicable to companies that have elected to be regulated as business development companies under the 1940 Act.

  • Investment Advisory Facilities The Sub-Adviser, at its expense, will furnish all necessary investment facilities, including salaries of personnel, required for it to execute its duties hereunder.

  • Investment Advisory and Management Services The Investment Adviser ------------------------------------------- hereby appoints the Subadviser to serve as subadviser to the Fund and the Subadviser hereby accepts such appointment. Subject to the supervision of the Investment Adviser, Subadviser will regularly provide the Fund with investment advice and investment management services concerning the investments of the Fund. The Subadviser will determine what securities shall be purchased, held or sold by the Fund and what portion of the Fund's assets shall be held uninvested in cash and cash equivalents, subject always to the provisions of the Trust's Declaration of Trust and By-laws and the 1940 Act, and to the investment objectives, policies and restrictions applicable to the Fund (including, without limitation, the requirements of Subchapters L and M of the Internal Revenue Code of 1986, as amended) (the "Code"), as each of the same shall be from time to time in effect or set forth in the Fund's Prospectus and Statement of Additional Information, as well as any other investment guidelines or policies the Board of Trustees or the Investment Adviser may from time to time establish and deliver in writing to the Subadviser. To carry out such determinations the Subadviser will exercise full discretion, subject to the preceding paragraph, and act for the Fund in the same manner and with the same force and effect as the Trust might or could do with respect to purchases, sales or other transactions, as well as with respect to all other things necessary or incidental to the furtherance or conduct of such purchases, sales or other transactions. Notwithstanding the foregoing, the Subadviser shall, upon written instructions from the Investment Adviser, effect such portfolio transactions for the Fund as the Investment Adviser may from time to time direct. Such instructions will be given in reasonable circumstances, including, without limitation, any termination of this Agreement. The Subadviser will also make its officers and employees available to meet with the officers of the Investment Adviser and the Trust's officers and Trustees at least quarterly on due notice to review the investments and investment program of the Fund in the light of current and prospective economic and market conditions. From time to time as the Board of Trustees of the Trust or the Investment Adviser may reasonably request, the Subadviser will furnish to the Investment Adviser and Trust's officers and to each of its Trustees, at the Subadviser's expense, reports on portfolio transactions and reports on issues of securities held by the Fund, all in such detail as the Trust or the Investment Adviser may reasonably request. The Subadviser shall maintain all books and records required by Rule 31a-1 under the 1940 Act relating to its responsibilities provided hereunder with respect to the Fund, and shall preserve such records for the periods and in a manner prescribed by Rule 31a-2 under the 1940 Act. The Subadviser shall permit the Investment Adviser, the Fund's officers and its independent public accountants to inspect and audit such records at reasonable times during normal business hours upon due notice. If any occasion should arise in which the Subadviser gives any advice to its clients concerning the shares of the Fund, the Subadviser will act solely as investment counsel for such clients and not in any way on behalf of the Fund. The Subadviser's services to the Fund pursuant to this Agreement are not to be deemed to be exclusive, and it is understood that the Subadviser may render investment advice, management and other services to others.

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