Advisory Representative definition
Advisory Representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.
Advisory Representative means any partner, officer or director of the investment adviser; any employee who participates in any way in the determination of which recommendations shall be made; any employee who, in connection with the employee’s duties, obtains any information concerning which securities are being recommended prior to the effective dissemination of the recommendations; and any of the following persons who obtain information concerning securities recommendations being made by the investment adviser prior to the effective dissemination of the recommendations:
Advisory Representative means any employee, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the purchase or sale of a security by the Aberdeen Group or whose functions relate to the making of any recommendations with respect to such purchases or sales; and any natural person in a control relationship to the Aberdeen Group who obtains information concerning recommendations made concerning a purchase or sale of a Security. This definition includes but is not limited to the following: Officer, Director, "Investment Person", "Portfolio Manager" and any other employee of the Adviser designated as an "Advisory Representative" from time to time by the Compliance Officer.
Examples of Advisory Representative in a sentence
Advisory Representative may not purchase or sell securities not contained in the initial asset allocation without prior Client consent.
Client will also be able to obtain the same information either by telephoning their Advisory Representative or by requesting the trade-by-trade confirmation for the particular transaction.
The foregoing conflicts of interest are mitigated under Royal Alliance’s Policies and Procedures that have been adopted for this purpose, and by the fact that your Advisory Representative who makes investment recommendations for your Account does not receive any economic benefit from these payments.
Advisory Representative will not make changes to the initially agreed upon asset allocation without prior Client review and approval.
Any dispute unresolved after such 30-day period shall be submitted to a national public accounting firm satisfactory to the Sellers' Advisory Representative and Buyer, or, in the absence of agreement on such firm, to a panel of three public accounting firms, one designated by the Sellers' Advisory Representative, one designated by Buyer and one jointly designated by the other two firms.
More Definitions of Advisory Representative
Advisory Representative means any of your partners, offi- cers or directors; any employee who participates in any way in the de- termination of which recommendations will be made, or whose functions or duties relate to the determination of which recommendation will be made; any employee who, in connection with his or her duties, obtains any information concerning which securities are being recommended pri- or to the effective dissemination of the recommendations; and any of the following persons who obtain information concerning securities recommendations being made by you prior to the effective dissemination of the recommendations:
Advisory Representative means any employee (i) who, in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the purchase or sale of a security by the Firm; (ii) whose functions relate to the making of any recommendations with respect to such purchases or sales; and (iii) any natural person in a control relationship to the Firm who obtains information concerning recommendation made for the purchase or sale of a security. This definition includes but is not limited to the following: officer, director, "investment personnel", "portfolio manager" and any other employee of the Firm designated as an "advisory representative" from time to time by the Chief Compliance Officer.
Advisory Representative means any of your partners, officers or directors ((of the investment adviser)); any employee who participates in any way in the determination of which recommendations shall be made, or whose functions or duties relate to the determina- tion of which recommendation shall be made; any employee who, in con- nection with his or her duties, obtains any information concerning which securities are being recommended prior to the effective dissemi- nation of the recommendations; and any of the following persons who obtain information concerning securities recommendations being made by ((the investment adviser)) you prior to the effective dissemination of the recommendations:
Advisory Representative means any director, officer or employee of the Firm who makes any recommendation, who participates in the determination of which recommendation shall be made, or whose functions or duties relate to the determination of which recommendation shall be made; any director, officer, or employee who, in connecting with his or her duties, obtains any information concerning which securities are being recommended prior to the effective dissemination of such recommendations or of the information conceding such recommendations; and any of the following persons who obtain information concerning securities recommendations being made by the Firm prior to the effective dissemination of such recommendations or of the information concerning such recommendations: (i) any person in a control relationship to the Firm, (ii) any affiliated person of such controlling person, and (iii) any affiliated person of such affiliated person.
Advisory Representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or
Advisory Representative means any employee, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the purchase or sale of a security by the Firm on behalf of a Portfolio or Fund, or whose functions relate to the making of any recommendations with respect to such purchases or sales; and any natural person in a control relationship to the Firm who obtains information concerning recommendations made concerning a purchase or sale of a security on behalf of a Portfolio or Fund. This definition includes but is not limited to the following: partner, officer, director, "Investment Personnel", "Portfolio Manager" and any other employee of the Adviser designated as an "Advisory Representative" from time to time by the Compliance Officer.
Advisory Representative means an investment adviser who is primarily engaged in a business;