investment advice means the provision of personal recommendations to a client, either upon its request or at the initiative of the investment firm, in respect of one or more transactions relating to financial instruments;
investment advice means advice relating to investing in, purchasing, selling or otherwise dealing in securities or investment products, and advice on investment portfolio containing securities or investment products, whether written, oral or through any other means of communication for the benefit of the client and shall include financial planning:
investment advice means investment advice as defined in Article 4(1)(4) of 2014/65/EU;
Examples of investment advice in a sentence
Investment advice covers a wide range of areas, including accountants talking to small business owners, staff of product providers dealing with customer queries, actuaries talking to members of superannuation schemes, accountants commenting about master trusts to their tax clients and full service financial planners / investment advisers who see it as their core business.
Investment advice has the goal of enabling / facilitating consumers to achieve financial security for themselves and their families.
More Definitions of investment advice
investment advice means the provision of personal recommendation to the Client either after his request or on the initiative of the Company, in relation to one or more transactions related to Financial Instruments, either directly or through his agent. For the purposes of this definition, a personal recommendation is a recommendation that is presented as suitable for the Client or is based on a consideration of the circumstances of the Client and advises the Client to take one of the following sets of steps:
investment advice means investment advice as defined in point (4) of Article 4(1) of Directive 2014/65/EU;
investment advice means advice with respect to an investment in, or the purchase, sale or holding of, a security;
investment advice has the meaning ascribed to such term in the Regulations; “Investment Business Service” has the meaning ascribed to such term in the Regulations; “Law Society” means the Law Society of Ireland;
investment advice means advice with respect to "securities" provided by a "registered representative" which is solely incidental to his/her conduct as a "registered representative" and for which he/she receives no special compensation, all pursuant to the provisions of the Investment Advisors Act of 1940, as amended.
investment advice means advice with respect to an investment in, or the purchase, sale or holding of, a security, whether or not provided by an investment adviser;
investment advice means the provision of personal recommendation to a Client, either after their request, or on the initiative of the IF, in relation to one or more Transactions related to financial instruments; for the purposes of this definition, a personal recommendation is given the meaning assigned to it in section 9 of the Commission Delegated Regulation.