Advisory Client definition

Advisory Client means any client (including both investment companies and managed accounts) for which Invesco serves as an investment adviser, renders investment advice, or makes investment decisions.

Advisory Client means any client (including both investment companies and managed accounts) for which SCM serves as an investment adviser or subadviser, renders investment advice, makes investment decisions or places orders through its Trading Department.

Advisory Client means any Oppenheimer Fund, other investment company or other client for which OFI act as adviser or sub-adviser.

Examples of Advisory Client in a sentence

• You may not cause an Advisory Client to take action, or not to take action, for your personal benefit rather than the benefit of the Advisory Client.

• This prohibition would apply whether the transaction is in the same (e.g., two purchases) or the opposite (a purchase and sale) direction as the transaction of the Advisory Client.

• Investment Personnel and Portfolio Managers shall not accept from any person or entity that does or proposes to do business with or on behalf of an Advisory Client a gift or other thing of more than de minimis value or any other form of advantage.

• Every Access Person shall treat as confidential information the fact that a security is being considered for purchase or sale by an Advisory Client, the contents of any research report, recommendation or decision, whether at the preliminary or final level, and the holdings of an Advisory Client and shall not disclose any such confidential information without prior consent from the Legal Department.

• Covered Persons may not make personal investment decisions based on their knowledge of Advisory Client holdings or transactions.

More Definitions of Advisory Client

Advisory Client means any client (including any Fund or managed account) for which WRIMCO or IICO serves as an investment adviser, renders investment advice or makes investment decisions.

Advisory Client means any Oppenheimer Fund, other investment company or other client for which OppenheimerFunds acts as adviser or sub-adviser.

Advisory Client means investment companies and other clients for which Columbus Circle Investors serves as advisor or sub-advisor.

Advisory Client means each of the Funds and any other client to whom EAM provides investment advice.

Advisory Client means any fund for which the Company serves as a general partner, or any person or entity for which it serves as investment adviser, renders investment advice or makes investment decisions.

Advisory Client means any individual, group of individuals, partnership, trust or company, including, without limit, a Fund for whom the Adviser acts as investment adviser or sub-adviser.

Advisory Client means any individual, partnership, trust, investment company, or other person or organization for which LKCM serves as investment adviser or sub-adviser.