Record of Advice definition

Record of Advice means the electronic record on ECMS detailing all actions and advice provided by you in relation to a Case;
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Record of Advice means a document of mutual understanding that relates to the relevant and material content of the Advice or Intermediary Service that is/was provided to the Client.
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Examples of Record of Advice in a sentence

  • If you receive personal financial advice this will be documented in a Statement of Advice (SoA), or in specific circumstances a Record of Advice (RoA), that confirms the discussions you have had with us, the recommendations we are making and the basis for those recommendations.

  • This Statement of Advice will contain the basis on which the advice is given, personal information, recommendations and information about fees, remuneration and associations which may have influenced the provision of the advice.Thereafter, if your circumstances have not significantly changed, our Authorised Representative can provide you with another Statement of Advice or a Record of Advice as a confirmationof the advice provided.

  • If you are given additional advice at a later time, you may be given a further SoA or Record of Advice (RoA).

  • FINANCIAL SERVICES GUIDEWhat other information should you consider before deciding whether to proceed with our recommendations?If you receive personal financial advice this will be documented in a Statement of Advice (SoA), or in specific circumstances a Record of Advice (RoA), that confirms the discussions you have had with us, the recommendations we are making and the basis for those recommendations.

  • This includes the Statement of Advice or Record of Advice (SoA or RoA) provided to you when you initially received personal advice, as well as any subsequent advice.

  • What documents do you get if we provide further advice?Where we provide further advice and your circumstances and/or our advice has not significantly changed, we will provide you with a Record of Advice (RoA).

  • Note: Full details of all fees and commissions for financial services will be provided to you in a Statement of Advice (SoA), or Record of Advice (RoA) and Product Disclosure Statements at the time of receiving any recommendation.

  • If you can assist us, do so at once.■— ■------- ♦(Continund from Page 1)penses of the Second Semester, this in­ cluding tuition, board, and room.If you are interested and desire further information address The Registrar, North­ west Nazarene College, Nampa, Idaho.NAZARENE MESSENGER Page 3 Site OIam»«0 lErhat A Battle RoyalThe playful nature of boys was again manifested on Hallowe’en night.

  • After that, any time you receive further financial advice from us, we will either provide you with another SOA or give you (or keep our own) written Record of Advice (ROA).

  • You can request the Record of Advice by contacting your Adviser or Affinia.In some circumstances your Adviser will provide general flnancial product advice.

Related to Record of Advice

  • Board of Studies means the Board of Studies of the University;

  • Investigating Committee means any Officer/Committee appointed by Competent Authority to conduct investigation.

  • the Academy means the school referred to in Article 4 and established by the Academy Trust;

  • 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;

  • Reliable Evidence means only published reports and articles in the authoritative medical and scientific literature; the written protocol or protocols used by the treating facility or the protocol(s) of another facility studying substantially the same drug, device, medical treatment or procedure; or the written informed consent used by the treating facility or by another facility studying substantially the same drug, device, medical treatment or procedure.

  • Executive Committee means a group of directors elected or appointed to act on behalf of, and within the powers granted to them by, the Commission.

  • Audit Committee means the audit committee of the board of directors of the Company established pursuant to the Articles, or any successor committee.