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;
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.

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

  • DRS Advice means the notification produced by the DRS system evidencing ownership of the Warrants or Common Shares, as the case may be;

  • Record of Decision means a Record of Decision of an application for municipal planning approval as contemplated in section 55;

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

  • Certificate of Appropriateness means the written approval of a permit application for work that is appropriate and that does not adversely affect a resource.

  • Statement of Additional Information means, respectively, the form of prospectus and statement of additional information with respect to the Fund filed by the Investment Company as part of the Registration Statement, or as they may be amended or supplemented from time to time.

  • Expert advice or assistance means advice or assistance derived from scientific, technical, or other specialized knowledge.

  • 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;

  • the decisions means the decisions of the CMA on the questions which it is required to answer by virtue of section 35 of the Act;

  • Virtual Meeting means any general meeting of the Shareholders (or any meeting of the holders of any Class of Shares) at which the Shareholders (and any other permitted participants of such meeting, including without limitation the chairman of the meeting and any Directors) are permitted to attend and participate solely by means of Communication Facilities.

  • Meetings means the meetings of Affected Unsecured Creditors in the Unsecured Creditor Classes in respect of each Participating CCAA Party called for the purposes of considering and voting in respect of the Plan, which has been set by the Amended and Restated Meetings Order to take place at the times, dates and locations as set out in the Amended and Restated Meetings Order;

  • Legal Advice as used herein shall be solely and exclusively limited to the advice provided by legal counsel stating legal rights, duties, liabilities and defenses and shall not include factual information or the formulation or analysis of business strategy.

  • 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;

  • JPC means Joint Planning Committee.

  • Evaluation Team means the team appointed by the City; “Information Meeting” has the meaning set out in section 2.2;

  • Resolution of Directors means either:

  • the Academy Trust means the company intended to be regulated by these Articles and referred to in Article 2;

  • Committees means the committees formed under this Act or by the various functionaries of the University as the case may be and includes the Nomination Committee, the Finance Committee and such other committees;

  • 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.

  • Governing board of the agreement means the governing board of the agreement

  • 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.

  • Legitimate law enforcement purpose means a goal within the lawful authority of an officer that is to be achieved through methods or conduct condoned by the officer’s appointing authority.

  • JDC has the meaning set forth in Section 3.2.

  • the Academies means all the schools and educational institutions referred to in Article 4a and operated by the Academy Trust (and “Academy” shall mean any one of those schools or educational institutions);

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

  • Advice shall have the meaning set forth in Section 6(d).