Financial Professionals definition
Examples of Financial Professionals in a sentence
The Executive agrees to adhere diligently to all established Company policies and procedures, including but not limited to the Company’s Guidelines on Significant Governance Issues, Code of Ethics and Business Conduct and, if applicable, the Code of Ethics for Financial Professionals.
If the Collaborative process has not been terminated, the withdrawing Financial Professional will make every effort to provide suitable referrals to other Financial Professionals to facilitate the engagement of a new financial Professional.
The Executive agrees to adhere diligently to all established Company policies and procedures, including but not limited to the Company's Guidelines on Significant Governance Issues, Code of Ethics and Business Conduct and, if applicable, the Code of Ethics for Financial Professionals.
The Executive as a condition of his employment shall be subject to all generally applicable policies, rules, regulations, and procedures of the Corporation, including, but not limited to the Employee Handbook, the Code of Conduct, and the Code of Ethics for Financial Professionals.
From time to time SAI may also recognize certain Financial Professionals through promotional programs that include attendance at off-site training sessions that may be sponsored or co-sponsored by these Product Sponsors.
These firms may also invite Financial Professionals to due diligence or continuing education meetings regarding their products.
If SAI receives this type of reimbursement, SAI may retain all or a portion of such reimbursements or, at its discretion, may pass through all or a portion of such reimbursement to its clients and/or Financial Professionals.
Dealer agrees that it will not show or give to any investor or prospective investor or reproduce any material or writing which is supplied to it by the Dealer Manager and marked "for Financial Professionals Only" or otherwise bearing a legend denoting that it is not to be used in connection with the sale of Class A Common Shares to any prospective investor or members of the public.
Dealer agrees that it will not show or give to any investor or prospective investor or reproduce any material or writing which is supplied to it by the Dealer Manager and marked "for Financial Professionals Only" or otherwise bearing a legend denoting that it is not to be used in connection with the sale of Common Shares to any prospective investor or members of the public.
Financial Professionals may be incented to join and remain affiliated with Securities America through certain compensation arrangements which could include bonuses, enhanced pay-outs, forgivable loans and/or business transition loans.