investment representative definition
investment representative means a professional investment advisor acting as agent for the purchaser and independent of the seller and not acting on behalf of the seller in connection with the transaction.
investment representative means a person, in the direct employment of or acting for or by arrangement with an investment adviser, who performs for such investment adviser any of the functions of an investment adviser (other than work ordinarily performed by accountants, clerks or cashiers) whether his remuneration is by way of salary, wages, commission or otherwise, and includes any director or officer of a body corporate who performs for such body corporate any of the said functions;
investment representative of a client means:
More Definitions of investment representative
investment representative means an individual, approved by the Corporation to trade in, but not advise on, securities, options, futures contracts or futures contract options on the Dealer Member’s behalf, including an Investment Representative (dealing in mutual funds only);
investment representative means a professional investment advisor acting as agent for the
investment representative means any person who trades but does not advise on trades in securities, options, futures contracts or futures contract options with the public in Canada, other than a person who trades exclusively in securities of or guaranteed by the government of Canada or any province of Canada or any municipality in Canada, and shall include an investment representative (mutual funds) approved pursuant to Rule 18.7;
investment representative of a Fund means:
investment representative means an employee of the Company performing the functions of an Investment Representative, as defined by Morgan Stanley.
investment representative means a person, by whatever name described, in the direct employment of, or acting for, or by arrangement with, an investment adviser, not being a dealer or exempt dealer, who performs for that investment adviser any of the functions of an investment adviser, other than work ordinarily performed by an accountant, clerk or cashier, whether his remuneration is by way of salary, wages, commission or otherwise; and, where the investment adviser is a body corporate, includes any director, member or officer of the body corporate who is not the holder of an investment adviser's licence and who performs for such body corporate any of those functions, whether or not his remuneration is as aforesaid;
investment representative means a person, in the direct employment of or acting for or by arrangement with any of the functions of an investment adviser (other than work ordinarily performed by accountants, clerks or cashiers) whether his remuneration is way of salary, wages, commission, or otherwise, and includes any director or officer of a body corporate who performs for such body corporate any of those functions, whether or not his remuneration is as aforesaid);