Investment Advisory definition

Investment Advisory means the service provided by the Platform to the Client as defined in Article V - INVESTMENT ADVISORY;
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Investment Advisory means the provision of individualised advisory aimed directly or indirectly at the purchase, sale, subscription, placement, settlement, safekeeping or other action related to a specific investment instrument or instruments or at exercising the rights of such disposal. The Bank shall be entitled to provide the investment service of investment advisory to its Clients upon fulfilling statutory conditions, based on its own discretion, or based on a special Investment Advisory Agreement that sets out special terms and conditions and rules for the provision of such services (for details see Article 27 hereof).
Sample 1
Investment Advisory means the provision of individualised advisory aimed at the purchase, sale, subscription, placement, settlement, safekeeping or other action related to a specific investment instrument or instruments or aimed at exercising the rights of such disposal. The Bank provides the investment service of investment advisory to its Clients in accordance with the law and at its own discretion.
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Examples of Investment Advisory in a sentence

  • Such action must be immediately disclosed to all participants, the Trustees, the Joint Legislative Auditing Committee, the Investment Advisory Council, and the Participant Local Government Advisory Council.

  • This Agreement will automatically terminate, without the payment of any penalty, (i) in the event of its assignment (as defined in the 1940 Act), or (ii) in the event the Investment Advisory and Management Agreement between the Adviser and the Trust is assigned (as defined in the 1940 Act) or terminates for any other reason.

  • The Investment Advisory service consists in providing the Client with individualized recommendations regarding trading in a specific financial instrument, regardless of whether it is provided at the Client´s initiative or not.

  • Operating expenses paid by BFA under the Investment Advisory Agreement exclude acquired fund fees and expenses, if any.

  • The Investment Advisory Agreement may also be terminated forthwith upon certain breaches or upon the insolvency of a party (or upon the happening of a like event).

  • Nothing in this Code shall be construed to restrict the right of the Adviser to engage in any activity or business that it is permitted to engage in under the Investment Advisory Agreement between the Adviser and a Corporation or to restrict any Covered Person who is also a member, manager, partner, director, officer or employee of the Adviser from taking any action in connection therewith.

  • A copy of the Yearly Fiscal Status Report filed to the California Debt and Investment Advisory Commission (“CDIAC”) filed on or before October 30, 2023, is attached as Exhibit D.

  • The Investment Advisory Agreement provides for the Manager to indemnify the Investment Adviser from all actions, proceedings and claims and against all costs, demands, liabilities, damages, losses and expenses brought against, suffered or incurred by BNY Mellon Investment Adviser, Inc.

  • Additionally, the Finance Director, Chief Administrative Officer and other members of the management Investment Advisory Committee, as identified herein, are required to annually file applicable financial disclosures as required by the Fair Political Practices Commission (FPPC).

  • It is anticipated that all proposals will be approved by shareholders and that the new Investment Advisory Agreement will become effective immediately after the shareholder meeting.

Related to Investment Advisory

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Investment Advisory Agreement means the investment advisory agreement entered into between the Adviser and the Fund, as from time to time in effect.

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Investment Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • 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 Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;

  • Investment Management Agreement means the Investment Management Agreement, dated as of the date hereof, by and between the Investment Manager and the Borrower.

  • Investment is any beneficial ownership interest in any Person (including stock, partnership interest or other securities), and any loan, advance or capital contribution to any Person.

  • Investment Management Services means any services which involve: (i) the management of an investment account or Fund (or portions thereof or a group of investment accounts or Funds); (ii) the giving of advice with respect to the investment and/or reinvestment of assets or funds (or any group of assets or funds); or (iii) otherwise acting as an “investment adviser” within the meaning of the Investment Advisers Act of 1940, as amended, including, without limitation, in each of the foregoing cases, performing activities related or incidental thereto.

  • Sub-Investment Manager means for each Fund any sub-investment manager or sub-investment managers indicated in the relevant Supplement and any sub-investment manager that the relevant Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Managers will be provided to Shareholders upon request and details thereof will be disclosed in the periodic reports to Shareholders, and provided further that each Sub-Investment Manager may appoint a sub-investment manager/advisor to manage/advise any portion of the assets of any Fund to which it has been appointed Sub-Investment Manager in accordance with the requirements of the Central Bank Rules;

  • Independent Adviser means an independent financial institution of international repute or other independent financial adviser experienced in the international debt capital markets, in each case appointed by the Issuer at its own expense;

  • Independent Advisor means a reputable accounting, appraisal or nationally recognized investment banking, engineering or consulting firm (a) which does not, and whose directors, officers and employees or Affiliates do not, have a direct or indirect material financial interest in the Company and (b) which, in the judgment of the Board of Directors of the Company, is otherwise disinterested, independent and qualified to perform the task for which it is to be engaged.

  • Investment Strategy is the processes and policies implemented by the Investment Manager for pursuing a particular investment objective managed by an Investment Team.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Company at its own expense.

  • Advisory Person means (i) any employee of the Fund, Manager or Adviser/Subadviser (or of any company in a control relationship to the Fund, Manager or Adviser/Subadviser) who, in connection with his or her regular functions or duties, makes, participates in, or obtains current or pending information regarding the purchase or sale of a security by the Fund, or whose functions relate to the making of any recommendations with respect to such purchases or sales; and (ii) any natural person in a control relationship to the Fund who obtains information concerning recommendations made to the Fund with regard to the purchase or sale of a security.

  • Financial Adviser means any: