Potential Client definition

Potential Client means any person or entity to whom the Company has offered (by means of a personal meeting, telephone call, or a letter or written proposal specifically directed to the particular person or entity) to serve as investment adviser or to provide or distribute insurance products but which is not at such time an advisee, investment advisory or insurance customer, distributor or client of the Group or any person or entity for which a plan exists to make such an offer; persons or entities solicited or to be solicited solely by non-personalized form letters and blanket mailings are excluded from this definition;
Potential Client means, subject to the general rules under the definition of Client, at any particular time of determination, any Person (i) to whom (x) the Company or any subsidiary or Affiliate thereof, and/or (y) any owner, part owner, shareholder, partner, member, director, officer, trustee, employee, agent or consultant (or persons acting in any similar capacity) of the Company or any subsidiary or Affiliate thereof, acting on behalf of the Company or any subsidiary or Affiliate thereof in any such case has within one (1) year prior to such time of determination offered (whether by means of a personal meeting, telephone call, letter, written proposal or otherwise) to serve as investment adviser or otherwise provide Investment Management Services, but who is not at such time an advisee or investment advisory customer or client of (or otherwise a direct or indirect recipient of Investment Management Services from) the Company or any subsidiary or Affiliate thereof (or any of the foregoing Persons acting on their behalf), and (ii) with which Grantee or his department had material, direct interaction with and/or with respect to which Grantee had access to proprietary or confidential information; provided, however, that, from and after the termination of Grantee’s Employment, the term “Potential Client” shall thereafter be limited (solely with respect to the Grantee) to those Potential Clients to whom such an offer to provide Investment Management Services was made at any time during the one (1) year immediately preceding the date of such termination. The preceding sentence is meant to exclude advertising, if any, through mass media in which the offer, if any, is available to the general public, such as magazines, newspapers and sponsorships of public events.
Potential Client means any person or entity to whom the Company has offered (by means of a personal meeting, telephone call, or a letter or written proposal specifically directed to the particular person or entity) within the one (1) year immediately preceding the termination of Grantee’s employment to serve as investment adviser or to provide or distribute insurance products but which is not at such time an advisee, investment advisory or insurance customer, distributor or client of the Company and with which Grantee dealt while at the Company or which became known to Grantee during the course of his/her employment at the Company; this definition includes persons or entities for which a plan exists to make such an offer, but excludes persons or entities solicited or to be solicited solely by non-personalized form letters and blanket mailings.

Examples of Potential Client in a sentence

  • SSC Requirement and Potential Client Users: This solicitation is being issued by Shared Services Canada (SSC).

  • Potential Client hereby acknowledges that in the event FXC does not consider the information or documents provided by potential Client in compliance with points 6 to 10 of this Article, in its sole discretion, as satisfactory with regard to FXC AML Policy, FXC may require additional information or documents from such potential Client before the conclusion of this Contract.

  • Potential Client hereby acknowledges that in the event AXIORY does not consider the information or documents provided by the potential Client in compliance with Paragraphs 7.6 to 7.9, in its sole discretion, as satisfactory with regard to AXIORY AML Policy, AXIORY may require additional information or documents from such potential Client before the conclusion of this Contract.

  • Estate Agents will enquire whether the Client (current inhabitant of the property and/or the occupants of the property) and Potential Client currently display any of the aforementioned symptoms and/or whether the Client, Potential Client and/or immediate family have been experiencing any of these symptoms 14 days prior to the viewing and/or whether they have been in contact with a confirmed case of Covid-19.

  • Participant shall not, directly or indirectly (except in a Permitted Capacity), until one (1) year after Participant’s Termination of Service, solicit, enter into, or propose to enter into any employment, consulting, investment management, investment advisory, or any other business relationship or agreement with any Past Client, Present Client, Potential Client, or Marketing Agent.


More Definitions of Potential Client

Potential Client means at any particular time, (x) any Person to whom a Grosvenor Party, any investment fund directly or indirectly managed by it, or any distribution agent or other Person acting on behalf of either, has within two years prior to such time, offered or solicited (by means of personal meeting, telephone call, or a letter or written proposal specifically directed to the particular Person) to serve as investment adviser or manager, or who has been offered or solicited to invest in any investment fund or other Investment Product directly or indirectly managed by a Grosvenor Party (other than a registered investment company), but who is not at such time, directly or indirectly, an advisee, investment advisory customer or client of (or a partner of or investor in any investment vehicle (other than a registered investment company) managed directly or indirectly by) a Grosvenor Party, or (y) any consultant to such Person.
Potential Client means any person or entity to whom Company, on its own behalf, through any of its officers or employees, had within one year prior to the date of Executive's termination of employment with Company offered (by means of a formal presentation made in person to the Potential Client) to provide services as a client or customer.
Potential Client means, at any particular time, any Person to whom the Company, through any of their officers, employees, agents or consultants (or persons acting in any similar capacity), has, within two years prior to such time, offered (by means of a personal meeting, telephone call, email, letter or other written proposal specifically directed to the particular Person) to provide services, but who is not at such time a Client of the Company.
Potential Client means, at any particular time, any Person to whom the LLC (including, without limitation, the Predecessor) or any of its Controlled Affiliates, through any of their officers, employees, agents or consultants (or persons acting in any similar capacity), has, within two years prior to such time, offered (by means of a personal meeting, telephone call, or a letter or a written proposal specifically directed to the particular Person) to provide Investment Management Services or Brokerage Services, but who is not at such time an investment advisory client of, or recipient of Investment Management Services or Brokerage Services from, the LLC or any of its Controlled Affiliates. The preceding sentence is meant to exclude form letters, blanket mailings, cold calls and initial marketing efforts that do not result in a request by the recipient for further information or a presentation.
Potential Client means, as of any time of determination, any Person to whom the Partnership (including without limitation, its predecessors) or its Affiliates has offered to provide investment products or services at any point during the period of two (2) years immediately preceding such time of determination (but who has not become a recipient of investment products or services from the Partnership or its Affiliates).
Potential Client means those persons whom the Employee has contacted with a view to obtaining an order during the one (1) year period immediately preceding the date of termination of the Employee's employment;
Potential Client means a person referred by a criminal justice system component to a TAP agency for assessment.