Common use of Client Representations Clause in Contracts

Client Representations. The Client represents to the Firm the following and understands and agrees that the Firm is relying on these representations as an inducement to enter into this Agreement: • The Client declares to be legally empowered to enter into or perform this agreement. • If this Agreement is established by a legal entity, the undersigned certifies that the Agreement has been duly authorized, executed and delivered on behalf of such entity, and that the Agreement is valid by way of resolution or amendment made by the entity to that effect, and authorizing the appropriate officer or director to act on its behalf in connection with this Agreement. • The Client agrees to provide the Firm with the necessary information to provide the agreed upon services. • The Client agrees and acknowledges that the responsibility for financial decisions is theirs and the Client is under no obligation to follow, either wholly or in part, any recommendation or suggestion provided by the Firm. • The Client understands and agrees that the Firm performs services for other clients and may make recommendations to those clients that differ from the recommendations made to the Client. The Client agrees the Firm does not have any obligation to recommend for purchase or sale any security or other asset it may recommend to any other client. • The Client agrees the Firm obtains information from a wide variety of publicly available sources and cannot guarantee the accuracy of the information or success of the advice which it may provide. The information and recommendations developed by the Firm is based on the professional judgment of the Firm and the information the Client provides to the Firm. • The Client acknowledges and agrees that the Firm shall not be obligated to provide any services under this Agreement with or for the Client if, in the Firm’s reasonable judgment, this would (i) violate any applicable federal or state law or any applicable rule or regulation of any regulatory agency, or (ii) be inconsistent with any internal policy maintained by the Firm relating to business conduct with its Clients. • The Client acknowledges all investments involve risks and that some investment decisions will result in losses, including the potential for the loss of their principal amount that has been invested. The Client understands that the Firm cannot guarantee any specific level of performance or that the Client’s investment goals or planning objectives will be achieved. The Client further understands and acknowledges that investment decisions made on behalf of the Client's account by the Firm are subject to various market, currency, economic, and business risks, as well as the risk that those investment decisions will not always be profitable. The Client understands that securities, mutual funds, and other non-deposit investments are not guaranteed by the Firm or any affiliate, are not insured by the Federal Deposit Insurance Corporation ("FDIC") or any other government agency, and are subject to investment risk, including possible loss of principal amounts invested. • If the account under the Firm’s supervision contains only a portion of the Client’s total assets, the Firm shall not be responsible for the supervision of those Client assets not under management or otherwise covered by this Agreement. • The Client understands and agrees that the Firm will not be liable for any loss incurred as a result of the services provided to the Client by the Custodian of Record under the Client’s direction. • Nothing contained in this paragraph constitutes a waiver of any rights that a Client has under federal and state securities laws to pursue a remedy by other means.

Appears in 1 contract

Samples: Client Engagement Agreement

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Client Representations. The Client represents to the Firm the following and understands and agrees that the Firm is relying on these representations as an inducement to enter into this Agreement: • The Client declares to be legally empowered to enter into or perform this agreement. • Client agrees to provide the Firm with the necessary information to provide the agreed upon services. • Client agrees and acknowledges that the responsibility for financial decisions is theirs and the Client is under no obligation to follow, either wholly or in part, any recommendation or suggestion provided by the Firm. • If this Agreement is established by a legal entity, the undersigned certifies that the Agreement has been duly authorized, executed and delivered on behalf of such entity, and that the Agreement is valid by way of resolution or amendment made by the entity to that effect, and authorizing the appropriate officer or director to act on its behalf in connection with this Agreement. • The Client agrees to provide the Firm with the necessary information to provide the agreed upon services. • The Client agrees and acknowledges that the responsibility for financial decisions is theirs and the Client is under no obligation to follow, either wholly or in part, any recommendation or suggestion provided by the Firm. • The Client understands and agrees that the Firm performs services for other clients and may make recommendations to those clients that differ from the recommendations made to the Client. The Client agrees the Firm does not have any obligation to recommend for purchase or sale any security or other asset it may recommend to any other client. • The Client agrees the Firm obtains information from a wide variety of publicly available sources and cannot guarantee the accuracy of the information or success of the advice which it may provide. The information and recommendations developed by the Firm is based on the professional judgment of the Firm and the information the Client provides to the Firm. • The Client acknowledges and agrees that the Firm shall not be obligated to provide any services under this Agreement with or for the Client if, in the Firm’s reasonable judgment, this would (i) violate any applicable federal or state law or any applicable rule or regulation of any regulatory agency, or (ii) be inconsistent with any internal policy maintained by the Firm relating to business conduct with its Clients. • The Client acknowledges all investments involve risks and that some investment decisions will result in losses, including the potential for the loss of their principal amount that has been invested. The Client understands that the Firm cannot guarantee any specific level of performance or that the Client’s their investment goals or planning objectives will be achieved. The Client further understands and acknowledges that investment decisions made on behalf Firm cannot guarantee results of the Client's account by the Firm are subject to various market, currency, economic, and business risks, as well as the risk that those investment decisions will not always be profitable. The Client understands that securities, mutual funds, and other non-deposit investments are not guaranteed by the Firm or any affiliate, are not insured by the Federal Deposit Insurance Corporation ("FDIC") or any other government agency, and are subject to investment risk, including possible loss of principal amounts investedrecommendation. • If the account under the Firm’s supervision contains only a portion of the Client’s total assets, the Firm shall not be responsible for the supervision of those Client assets not under management or otherwise covered by this Agreement. • The Client understands and agrees that the Firm will not be liable for any loss incurred as a result of the services provided to the Client by the Custodian of Record under the Client’s direction. • Nothing contained in this paragraph constitutes a waiver of any rights that a Client has under federal and state securities laws to pursue a remedy by other means.

Appears in 1 contract

Samples: Client Engagement Agreement

Client Representations. The Client represents to the Firm the following and understands and agrees that the Firm is relying on these representations as an inducement to enter into this Agreement: • The Client declares affirms to be legally empowered to enter into or perform this agreement. • If this Agreement is established by a legal entity, the undersigned certifies that the Agreement has been duly authorized, executed and delivered on behalf of such entity, and that the Agreement is valid by way of resolution or amendment made by the entity to that effect, and authorizing the appropriate officer or director to act on its behalf in connection with this Agreement. • The Client agrees to provide the Firm with the necessary information to provide the agreed upon services, including, but not limited to current contact information for Client, such as address, email and phone number. • The Client agrees and acknowledges that the responsibility for financial planning decisions is theirs and that the Client is under no obligation has the right to follownot act upon, either wholly or in part, any recommendation or suggestion provided by the Firm. • The Client understands and agrees affirms that the Firm performs services for other clients and may make recommendations to those clients that differ from the recommendations made to the Client. The Client agrees affirms the Firm does not have any an obligation to recommend for purchase or sale any security or other asset it may recommend to any other client. • The Client agrees affirms that the Firm obtains information from a wide variety of publicly available sources and cannot guarantee the accuracy of the information or success of the advice which it may provide. The information and recommendations developed by the Firm is based on the professional judgment of the Firm and the information the Client provides to the Firm. • The Client acknowledges and agrees that the Firm shall not be obligated to provide any services under this Agreement with or for the Client if, in the Firm’s reasonable judgment, this would (i) violate any applicable federal or state law or any applicable rule or regulation of any regulatory agency, or (ii) be inconsistent with any internal policy maintained by the Firm relating to its business conduct with its Clients. • The Client acknowledges all investments involve risks and that some investment decisions will result in losses, including the potential for the loss of their Client’s principal amount that has been invested. The Client understands is hereby informed that the Firm cannot guarantee any specific level of performance or that the Client’s investment goals or planning objectives will be achieved. The • If the Client further understands and acknowledges that investment decisions made on behalf of the Client's account account(s) served by the Firm are subject to various market, currency, economic, and business risks, as well as the risk that those investment decisions will not always be profitable. The Client understands that securities, mutual funds, and other non-deposit investments are not guaranteed by the Firm or any affiliate, are not insured by the Federal Deposit Insurance Corporation ("FDIC") or any other government agency, and are subject to investment risk, including possible loss of principal amounts invested. • If the account under the Firm’s supervision contains only a portion of the Client’s total assets, the Firm shall not be responsible for the supervision of those Client assets not under management or otherwise covered by set forth through this Agreement. • The Client understands and agrees that the Firm will not be liable for any loss incurred as a result of the services provided to the Client by the Custodian of Record under via the Client’s direction. • Nothing contained in this paragraph constitutes a waiver of any rights that a Client has under federal and state securities laws to pursue a remedy by other meansinstructions.

Appears in 1 contract

Samples: Client Engagement Agreement

Client Representations. The Client represents to the Firm the following and understands and agrees that the Firm is relying on these representations as an inducement to enter into this Agreement: The Client declares to be legally empowered to enter into or perform this agreement. If this Agreement is established by a legal entity, the undersigned certifies that the Agreement has been duly authorized, executed and delivered on behalf of such entity, and that the Agreement is valid by way of resolution or amendment made by the entity to that effect, and authorizing the appropriate officer or director to act on its behalf in connection with this Agreement. • The Client agrees to provide the Firm with the necessary information to provide the agreed upon services. • The Client agrees and acknowledges that the responsibility for financial decisions is theirs and the Client is under no obligation to follow, either wholly or in part, any recommendation or suggestion provided by the Firm. • The Client understands and agrees that the Firm performs services for other clients and may make recommendations to those clients that differ from the recommendations made to the Client. The Client agrees the Firm does not have any obligation to recommend for purchase or sale any security or other asset it may recommend to any other client. The Client agrees the Firm obtains information from a wide variety of publicly available sources and cannot guarantee the accuracy of the information or success of the advice which it may provide. The information and recommendations developed by the Firm is based on the professional judgment of the Firm and the information the Client provides to the Firm. The Client acknowledges and agrees that the Firm shall not be obligated to provide any services under this Agreement with or for the Client if, in the Firm’s reasonable judgment, this would (i) violate any applicable federal or state law or any applicable rule or regulation of any regulatory agency, or (ii) be inconsistent with any internal policy maintained by the Firm relating to business conduct with its Clients. • The Client acknowledges all investments involve risks and that some investment decisions will result in losses, including the potential for the loss of their principal amount that has been invested. The Client understands that the Firm cannot guarantee any specific level of performance or that the Client’s their investment goals or planning objectives will be achieved. The Client further understands and acknowledges that investment decisions made on behalf of the Client's account by the Firm are subject to various market, currency, economic, and business risks, as well as the risk that those investment decisions will not always be profitable. The Client understands that securities, mutual funds, and other non-deposit investments are not guaranteed by the Firm or any affiliate, are not insured by the Federal Deposit Insurance Corporation ("FDIC") or any other government agency, and are subject to investment risk, including possible loss of principal amounts invested. • If the account under the Firm’s supervision contains only a portion of the Client’s total assets, the Firm shall not be responsible for the supervision of those Client assets not under management or otherwise covered by this Agreement. The Client understands and agrees that the Firm will not be liable for any loss incurred as a result of the services provided to the Client by the Custodian of Record under the Client’s direction. • Nothing contained in this paragraph constitutes a waiver of any rights that a Client has under federal and state securities laws to pursue a remedy by other means.

Appears in 1 contract

Samples: Client Engagement Agreement

Client Representations. The Client represents to the Firm the following and understands and agrees that the Firm is relying on these representations as an inducement to enter into this Performance Fee Agreement: • The Client declares to be legally empowered to enter into or perform this agreementPerformance Fee Agreement. • If this Performance Fee Agreement is established by a legal entity, the undersigned certifies that the Performance Fee Agreement has been duly authorized, executed and delivered on behalf of such entity, and that the Performance Fee Agreement is valid by way of resolution or amendment made by the entity to that effect, effect and authorizing the appropriate officer or director to act on its behalf in connection with this Performance Fee Agreement. • The Client affirms they are a qualified investor as defined by the United States Securities and Exchange Commission (SEC) and its Rule §275.205-3 as of the date of entering into this Performance Fee Agreement. If the Client no longer meets the definition of a qualified investor, the Client acknowledges that this Performance Fee Agreement is to be terminated. • The Client agrees to provide the Firm with the necessary information to provide the agreed upon services. • The Client agrees and acknowledges that the responsibility for financial decisions is theirs and the Client is under no obligation to follow, either wholly or in part, any recommendation or suggestion provided by the Firm. • The Client understands and agrees that the Firm performs services for other clients and may make recommendations to those clients that differ from the recommendations made to the Client. The Client agrees the Firm does not have any obligation to recommend for purchase or sale any security or other asset it may recommend to any other client. • The Client agrees the Firm obtains information from a wide variety of publicly available sources and cannot guarantee the accuracy of the information or success of the advice which it may provide. The information and recommendations developed by the Firm is based on the professional judgment of the Firm and the information the Client provides to the Firm. • The Client acknowledges and agrees that the Firm shall not be obligated to provide any services under this Performance Fee Agreement with or for the Client if, in the Firm’s reasonable judgment, this would (i) violate any applicable federal or state law or any applicable rule or regulation of any regulatory agency, or (ii) be inconsistent with any internal policy maintained by the Firm relating to business conduct with its Clients. • The Client acknowledges all investments involve risks and that some investment decisions will result in losses, including the potential for the loss of their principal amount that has been invested. The Client understands that the Firm cannot guarantee any specific level of performance or that the Client’s investment goals or planning objectives will be achieved. The Client further understands and acknowledges that investment decisions made on behalf of the Client's account by the Firm are subject to various market, currency, economic, and business risks, as well as the risk that those investment decisions will not always be profitable. The Client understands that securities, mutual funds, and other non-deposit investments are not guaranteed by the Firm or any affiliate, are not insured by the Federal Deposit Insurance Corporation ("FDIC") or any other government agency, and are subject to investment risk, including possible loss of principal amounts invested. • If the account under the Firm’s supervision contains only a portion of the Client’s total assets, the Firm shall not be responsible for the supervision of those Client assets not under management or otherwise covered by this Performance Fee Agreement. • The Client understands and agrees that the Firm will not be liable for any loss incurred as a result of the services provided to the Client by the Custodian of Record under the Client’s direction. • Nothing contained in this paragraph constitutes a waiver of any rights that a Client has under federal and state securities laws to pursue a remedy by other means.

Appears in 1 contract

Samples: Engagement Agreement

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Client Representations. The Client represents to the Firm the following and understands and agrees that the Firm is relying on these representations as an inducement to enter into this Agreement: The Client declares affirms to be legally empowered to enter into or perform this agreement. If this Agreement is established by a legal entity, the undersigned certifies that the Agreement has been duly authorized, executed and delivered on behalf of such entity, and that the Agreement is valid by way of resolution or amendment made by the entity to that effect, and authorizing the appropriate officer or director to act on its behalf in connection with this Agreement. • The Client agrees to provide the Firm with the necessary information to provide the agreed upon services, in- cluding, but not limited to current contact information for Client, such as address, email and phone number. • The Client agrees and acknowledges that the responsibility for financial planning decisions is theirs and that the Client is under no obligation has the right to follownot act upon, either wholly or in part, any recommendation or suggestion provided provid- ed by the Firm. • The Client understands and agrees affirms that the Firm performs services for other clients and may make recommendations to those clients that differ from the recommendations made to the Client. The Client agrees affirms the Firm does not have any an obligation to recommend for purchase or sale any security or other asset it may recommend to any other client. • The Client agrees affirms that the Firm obtains information from a wide variety of publicly available sources and cannot guarantee the accuracy of the information or success of the advice which it may provide. The information infor- mation and recommendations developed by the Firm is based on the professional judgment of the Firm and the information the Client provides to the Firm. • The Client acknowledges and agrees that the Firm shall not be obligated to provide any services under this Agreement with or for the Client if, in the Firm’s reasonable judgment, this would (i) violate any applicable federal or state law or any applicable rule or regulation of any regulatory agency, or (ii) be inconsistent with any internal policy maintained by the Firm relating to its business conduct with its Clients. • The Client acknowledges all investments involve risks and that some investment decisions will result in losses, including the potential for the loss of their principal amount that has been invested. The Client understands is hereby informed that the Firm cannot guarantee any specific level of performance or that the Client’s their investment goals or planning objectives will be achieved. The • If the Client further understands and acknowledges that investment decisions made on behalf of the Client's account account(s) served by the Firm are subject to various market, currency, economic, and business risks, as well as the risk that those investment decisions will not always be profitable. The Client understands that securities, mutual funds, and other non-deposit investments are not guaranteed by the Firm or any affiliate, are not insured by the Federal Deposit Insurance Corporation ("FDIC") or any other government agency, and are subject to investment risk, including possible loss of principal amounts invested. • If the account under the Firm’s supervision contains only a portion of the Client’s total assets, the Firm shall not be responsible for the supervision of those Client assets not under management or otherwise covered by set forth through this Agreement. • The Client understands and agrees that the Firm will not be liable for any loss incurred as a result of the services provided to the Client by the Custodian of Record under via the Client’s direction. • Nothing contained in this paragraph constitutes a waiver of any rights that a Client has under federal and state securities laws to pursue a remedy by other meansinstructions.

Appears in 1 contract

Samples: Client Engagement Agreement

Client Representations. The Client represents to the Firm the following and understands and agrees that the Firm is relying on these representations as an inducement to enter into this Agreement: The Client declares to be certifies that he/she is legally empowered to enter into or perform this agreement. • If this Agreement is established by a legal entity, the undersigned certifies that the Agreement has been duly authorized, executed and delivered on behalf of such entity, and that the Agreement is valid by way of resolution or amendment made by the entity to that effect, and authorizing the appropriate officer or director to act on its behalf in connection with this Agreement. • The Client agrees to that he/she will provide the Firm with the necessary information to provide the agreed upon services. • The Client agrees and acknowledges that the responsibility for financial decisions is theirs and the Client that he/she is under no obligation to follow, either wholly or in part, any recommendation or suggestion provided by the Firm. • The Client understands and agrees that the Firm performs services for other clients and may make recommendations to those clients that differ from the recommendations made to the Client. The Client agrees the Firm does not have any obligation to recommend for purchase or sale any security or other asset it may recommend to any other client. The Client agrees the Firm obtains information from a wide variety of publicly available sources and cannot guarantee the accuracy of the information or success of the advice which it may provide. The information and recommendations developed by the Firm is based on the professional judgment of the Firm and the information the Client provides to the Firm. The Client acknowledges and agrees that the Firm shall not be obligated to provide any services under this Agreement with or for the Client if, in the Firm’s reasonable judgment, this would (i) violate any applicable federal or state law or any applicable rule or regulation of any regulatory agency, or (ii) be inconsistent with any internal policy maintained by the Firm from time-to-time relating to business conduct with its Clients. • The Client acknowledges all investments involve risks and that some investment decisions will result in losses, including the potential for the loss of their principal amount that has been invested. The Client understands that the Firm cannot guarantee any specific level of performance or that the Client’s their investment goals or planning objectives will be achieved. The Client further understands and acknowledges that investment decisions made on behalf of the Client's account by the Firm are subject to various market, currency, economic, and business risks, as well as the risk that those investment decisions will not always be profitable. The Client understands that securities, mutual funds, and other non-deposit investments are not guaranteed by the Firm or any affiliate, are not insured by the Federal Deposit Insurance Corporation ("FDIC") or any other government agency, and are subject to investment risk, including possible loss of principal amounts invested. • If the account under the Firm’s supervision contains only a portion of the Client’s total assets, the Firm shall not be responsible for the supervision of those Client assets not under management or otherwise covered by this Agreement. • The Client understands and agrees that the Firm will not be liable for any loss incurred as a result of the services provided to the Client by the their Custodian of Record under the Client’s direction. • Nothing contained in this paragraph constitutes a waiver of any rights that a Client has under federal and state securities laws to pursue a remedy by other meansRecord.

Appears in 1 contract

Samples: Client Engagement Agreement

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