Advisory Accounts definition

Advisory Accounts means any account managed by the Advisor, including, but not limited to, registered and unregistered funds, wrap accounts and separately managed accounts.
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Advisory Accounts means separately managed accounts (or separate accounts) and pooled investment vehicles such as mutual funds, collective trusts and private investment funds that are sponsored, managed or advised by GSAM.
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Advisory Accounts means accounts for which PWM has expressly agreed to serve as investment adviser pursuant to an express account agreement.
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Examples of Advisory Accounts in a sentence

  • You must file a report of all personal securities accounts and securities holdings on Schedule C (Initial and Annual Disclosure of Brokerage Accounts, Investment Advisory Accounts, Securities Holdings and Discretionary Authority), with the Code of Ethics Administration Department, annually by February 1st.

  • You must file a report of all personal securities accounts and securities holdings on Schedule C (Initial and Annual Disclosure of Brokerage Accounts, Investment Advisory Accounts, Securities Holdings and Discretionary Authority) or equivalent filing method, with the Code of Ethics Administration Department, annually by February 15th.

  • At all times employees should be guided by the principle that the interests of Advisory Accounts come first.

  • Directors, officers and employees of the Company owe a fiduciary duty to place the interests of the Advisory Accounts above their own.

  • The final course grade will be posted within a few days of the final exam; therefore, no incompletes will be awarded for this course.

  • This includes the responsibility to conduct their personal securities transactions in a manner that does not interfere with portfolio transactions on behalf of Advisory Accounts or take unfair advantage of their relationship to the Company.

  • Periodically, the Chief Compliance Officer shall compare the reported personal securities transactions of Access Persons with completed portfolio transactions of the Advisory Accounts and the Funds to determine whether a violation of this Code may have occurred.

  • This includes the responsibility to conduct their personal securities transactions in a manner that does not interfere with portfolio transactions on behalf of Advisory Accounts and the Funds.

  • Prior approval should take into account whether the investment opportunity should be reserved for the Company and its Advisory Accounts, and whether the opportunity is being offered to the individual by virtue of his or her position with the Company.

  • Investment Personnel are prohibited from serving on a board of directors of a publicly traded company unless prior authorization has been granted by the Chief Executive Officer of the Advisor or the President of the Funds, as applicable, based upon a determination that the board service would not be inconsistent with the interests of the Advisor or its Advisory Accounts or the Funds or their shareholders.


More Definitions of Advisory Accounts

Advisory Accounts means accounts that are managed by GS PFM, both centrally-managed and locally- managed.
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Advisory Accounts. If you are risk-averse but have a reasonable amount of investable assets and you want to invest a very small amount of your overall account in, for example, a new issue of a start- up company run by someone you know and whose business acumen you respect, we would tell you that while the specific investment is not suitable for you, it might be acceptable if you can “afford” to lose some money, even that entire investment. An investment that is small in proportion to the total portfolio (not more than 2%) is not unsuitable. If, when you place an order, we follow this 3-step approach and what you would like to invest in appears not to be consistent with what your profile suggests to us, we will consider the investment unsuitable and advise against proceeding with the order and recommend other suitable options. If you have had a material change and need to update the NCAF and the investment is suitable based on the information in the update, then we will accept the order based on the updated NCAF. If there is no material change to your KYC information and the order is unsuitable, we will refuse the order as we have the right to do. Timing of Suitability Determinations: As described above, your advisor will review each order or strategy in the context of the KYC suitability factors when accepting each of your orders or recommending a security or strategy to you. A suitability determination will also be performed whenever: • Securities are transferred or deposited into the account; • There is a change in the advisor or portfolio manager responsible for your account; • You advise us of a material change to your KYC information (i.e. NCAF is updated); or • Other triggering events occur, such as significant market fluctuations. If we identify any concerns during a suitability determination, we will discuss them with you and we may be required by our regulators or good business practice to document our discussions. If we are strongly concerned about your investment decisions, we may have to refuse to execute your requested transaction or terminate the account relationship. To ensure that the position(s) held in your account or accounts is/are suitable for you as time passes, we will review the suitability of the investments at an account level:  Ongoing review of accounts triggered by trading activities or changes in the risk rating of investment products held in your account(s);  When required due to one of the reasons described above; and  When other factors af...
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Advisory Accounts means client accounts maintained in strategies offered by Ayco or its affiliates for which Ayco or its affiliates serves as investment adviser.
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Advisory Accounts means accounts that are managed by United Capital, both centrally-managed and locally-managed.
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Advisory Accounts means those separately managed accounts, wrap-fee accounts, individual managed accounts, investment vehicles or other financial products, structures or arrangements, in each case, through which the Seller provides, and, following the Closing, the Buyer or its Affiliates will provide, Investment Management Services, irrespective of strategy, investment objective, account type or fee or other compensation structure, in each case, listed on Schedule B under the heading “Advisory Accounts” for each applicable Business Segment; provided, that, for the avoidance of doubt, the Advisory Accounts shall exclude the Funds, and shall include any New Advisory Accounts.
Sample 1
Advisory Accounts. If you are risk-averse but have a reasonable amount of investable assets and you want to invest a very small amount of your overall account in, for example, a new issue of a start- up company run by someone you know and whose business acumen you respect, we would tell you that while the specific investment is not suitable for you, it might be acceptable if you can “afford” to lose some money, even that entire investment. An investment that is small in proportion to the total portfolio (not more than 2%) is not unsuitable. If, when you place an order, we follow this 3-step approach and what you would like to invest in appears not to be consistent with what your profile suggests to us, we will consider the investment unsuitable and advise against proceeding with the order. If you have had a material change and need to update the NCAF and the investment is suitable based on the information in the update, then we will accept the order based on the updated NCAF. If there is no material change to your KYC information and the order is unsuitable, we will refuse the order as we have the right to do.
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Related to Advisory Accounts

  • Management Accounts means the unaudited balance sheet of the Seller as at the Management Accounts Date and the unaudited statements of profit and loss of the Seller for the period commencing from 1st January 2007 and ended on the Management Accounts Date prepared in accordance with US GAAP and in a manner consistent with past practice, copies of which are annexed hereto as Exhibit B.

  • Operating Accounts shall have the meaning ascribed to it in Section 4.03.A.

  • Project Accounts means the accounts referred to in Section 3.03 (a) of this Agreement;

  • Investment Accounts means the Collateral Account, Securities Accounts, Commodities Accounts and Deposit Accounts.

  • Disbursement Accounts has the meaning ascribed to it in Annex C.

  • Depository Accounts shall have the meaning set forth in Section 4.15(h) hereof.

  • Special Accounts means the accounts referred to in Section 2.02 (b) of this Agreement.

  • Agency Account(s means any deposit account opened on the books of a Subcustodian or other banking institution in accordance with Section 7.1 hereof.

  • Client Accounts means accounts of Clients (i) that are Controlled by an Access Person and (ii) in which no Access Person has a substantial proportionate economic interest; provided that, the Client pays a management, advisory or any other similar arms-length fee to the Access Person and the beneficiary of the Client Account is not an Immediate Family member of an Access Person.

  • Financing Accounts means, collectively, the Credit Account and the Grant Account (or, where the context so requires, either of the Credit Account or the Grant Account).”

  • Intercompany Accounts has the meaning set forth in Section 2.03(a).

  • Management Accounts Date means 30 September 2023;

  • Separate Accounts means the accounts which are to be prepared for each

  • Facility Account means the account of Seller at Bank One, Account ---------------- No. 10-36987.

  • Lockbox Accounts means the accounts maintained by Borrower at the Lockbox Banks into which all collections or payments on their Accounts and other Collateral are paid.

  • Bank Accounts means those account(s) opened and maintained for the Trust by the Trustee at Banks, the beneficial ownerships in which shall vest in the Unit Holder(s).

  • Operating Account means a demand deposit account maintained at the Funding Bank in Borrower's name and designated for funding that portion of each Eligible Loan not funded by a Warehousing Advance made against that Eligible Loan and for returning any excess payment from an Investor for a Pledged Loan or Pledged Security.

  • Blocked Accounts shall have the meaning set forth in Section 6.3 hereof.

  • Interim Accounts means the unaudited consolidated quarterly financial statements of the Issuer for the quarterly period ending on each 31 March, 30 June, 30 September and 31 December in each year, prepared in accordance with GAAP.

  • Primary Account or “Settlement Account” shall mean, in case of multiple Accounts linked to the ATM/Debit Card, the Account that has been designated as being the main/first Account of operation i.e. the Account from which purchase transactions, charges and fees related to the ATM/Debit Card are debited.

  • Energy Accounts means the regional energy accounts/state energy accounts as specified in the Grid Code issued by the appropriate agency for each Month (as per their prescribed methodology), including the revisions and amendments thereof;

  • Investment Account As defined in Section 3.12(a).

  • Lock-Box Account With respect to any Mortgaged Property, if applicable, any account created pursuant to any documents relating to a Mortgage Loan or Serviced Loan Combination to receive rental or other income generated by the Mortgaged Property. Any Lock-Box Account shall be beneficially owned for federal income tax purposes by the Person who is entitled to receive the reinvestment income or gain thereon in accordance with the terms and provisions of the related Mortgage Loan or Serviced Loan Combination and Section 3.07 of this Agreement, which Person shall be taxed on all reinvestment income or gain thereon.

  • Depository Account includes any commercial, checking, savings, time, or thrift account, or an account that is evidenced by a certificate of deposit, thrift certificate, investment certificate, certificate of indebtedness, or other similar instrument maintained by a Financial Institution in the ordinary course of a banking or similar business. A Depository Account also includes an amount held by an insurance company pursuant to a guaranteed investment contract or similar agreement to pay or credit interest thereon.

  • Subsidy Account If the Trust Estate contains any Subsidy Loans, the deposit account or accounts created and maintained by the Servicer for deposit of Subsidy Funds and amounts payable under interest subsidy agreements relating to mortgage loans other than the Mortgage Loans.

  • Intercompany Account means any receivable, payable or loan between any member of the Ensign Group, on the one hand, and any member of the Pennant Group, on the other hand, that exists prior to the Effective Time and is reflected in the records of the relevant members of the Ensign Group and the Pennant Group, except for any such receivable, payable or loan that arises pursuant to this Agreement or any Ancillary Agreement.