Communications to Investment Advisor Sample Clauses

Communications to Investment Advisor. A. State Street will send the following reports on a monthly basis to the Advisor by overnight mail so that they are received no later than the tenth business day of the following month: • Statement of Investments showing account holdings as of the last day of the month. • Monthly Summary of Account Activity Report (Trials). • Daily Purchase Activity Report (Purchases and Sales Report). • Daily Sales Activity Report (Purchases and Sales Report). • Actual Dividend Receipts Reports (Dividend and Interest Report). • Summary of Accounting Journals Report - This report displays a daily summary of client contributions, client withdrawals and expenses charged to the account (Cash Summary Report). • Stock Dividend/Stock Split Schedule Report. Mergers, spinoffs, exchanges, etc. will also be indicted on this report as they occur. • YES Report. (This report will be distributed only if the Subaccount participates in YES for short term investments.)
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Communications to Investment Advisor. A. State Street will send the following reports on a monthly basis to the Advisor by overnight mail so that they are received no later than the tenth business day of the following month: o Statement of Investments showing account holdings as of the last day of the month. o Monthly Summary of Account Activity Report (Trials). o Daily Purchase Activity Report (Purchases and Sales Report). o Daily Sales Activity Report (Purchases and Sales Report). o Actual Dividend Receipts Reports (Dividend and Interest Report). o Summary of Accounting Journals Report - This report displays a daily summary of client contributions, client withdrawals and expenses charged to the account (Cash Summary Report). o Stock Dividend/Stock Split Schedule Report. Mergers, spinoffs, exchanges, etc. will also be indicted on this report as they occur.
Sample 1Sample 2
Communications to Investment Advisor. A. NTI will send the following reports on a monthly basis to the Advisor by overnight mail so that they are received no later than the tenth business day of the following month: Statement of Investments showing account holdings weekly. • Monthly Summary of Account Activity Report (Trials). • Daily Purchase Activity Report (Purchases and Sales Report). • Daily Sales Activity Report (Purchases and Sales Report). • Daily Actual Dividend Receipts Reports (Dividend and Interest Report). • Daily Summary of Accounting Journals Report - This report displays a daily summary of client contributions, client withdrawals and expenses charged to the account (Cash Summary Report). • Daily Stock Dividend/Stock Split Schedule Report. Mergers, Spinoffs, exchanges, etc. will also be indicted on this report as they occur.
Sample 1

Related to Communications to Investment Advisor

  • Compensation of the Investment Adviser Neither the Investment Adviser nor any affiliate of the Investment Adviser will act as principal or receive directly or indirectly any compensation in connection with the purchase or sale of investment securities by the Trust, other than the compensation provided for in this Section and such brokerage commissions as are permitted by the 1940 Act, it being contemplated that WPG will act as principal broker for the Trust in U.S. securities transactions.

  • No Investment Advice The Custodian shall have no duty to assess the risks inherent in Securities or other Assets or to provide investment advice, accounting or other valuation services regarding any such Securities or other Assets.

  • Obligations of the Investment Adviser a. The Investment Adviser shall provide (or cause the Trust's custodian to provide) timely information to the Subadviser regarding such matters as the composition of assets in the Fund, cash requirements and cash available for investment in the Fund, and all other information as may be reasonably necessary for the Subadviser to perform its responsibilities hereunder.

  • The Investment Adviser The Investment Adviser shall provide the staff and personnel necessary to perform its obligations under this Agreement, shall assume and pay or cause to be paid all expenses incurred in connection with the maintenance of such staff and personnel, and, at its own expense, shall provide the office space, facilities, equipment and necessary personnel which it is obligated to provide under Article I hereof. The Investment Adviser shall pay, or cause affiliates to pay, compensation of all officers of the Fund and all Directors of the Fund who are affiliated persons of the Investment Adviser or any sub-adviser, or an affiliate of the Investment Adviser or any sub-adviser.

  • Limitation of Liability of the Investment Adviser The Investment Adviser shall not be liable for any error of judgment or mistake of law or for any loss arising out of any investment or for any act or omission in the management of the Fund, except for willful misfeasance, bad faith or gross negligence in the performance of its duties, or by reason of reckless disregard of its obligations and duties hereunder. As used in this Article IV, the term "Investment Adviser" shall include any affiliates of the Investment Adviser performing services for the Fund contemplated hereby and partners, directors, officers and employees of the Investment Adviser and of such affiliates.

  • Duties of the Investment Adviser A. The Investment Adviser shall continue to have responsibility for all services to be provided to the Portfolio pursuant to the Advisory Agreement and shall oversee and review the Sub-Adviser's performance of its duties under this Agreement.

  • Investment Advisor The Buyer is an investment advisor registered under the Investment Advisors Act of 1940.

  • Investment Advisory Fee For services provided under subparagraph (a) of paragraph 1 of this Agreement, the Advisor agrees to pay the Sub-Advisor a monthly Sub-Advisory Fee. The Sub-Advisory Fee shall be equal to 110% of the Sub-Advisor's costs incurred in connection with rendering the services referred to in subparagraph (a) of paragraph 1 of this Agreement. The Sub-Advisory Fee shall not be reduced to reflect expense reimbursements or fee waivers by the Advisor, if any, in effect from time to time.

  • Limitation on the Authority of the Manager to Purchase and Sell Securities for the Account of Certain Underwriters Notwithstanding any provision of this AAU authorizing the Manager to purchase or sell any Securities or Other Securities (including arranging for the sale of Contract Securities) or over-allot in arranging sales of Securities for the accounts of the several Underwriters, the Manager may not, in connection with the Offering of any Securities, make any such purchases, sales, and/or over-allotments for the account of any Underwriter that, not later than its acceptance of the Invitation Wire relating to such Offering, has advised the Manager that, due to its status as, or relationship to, a bank or bank holding company such purchases, sales, and/or over-allotments are prohibited by applicable law. If any Underwriter so advises the Manager, the Manager may allocate any such purchases, sales, and over-allotments (and the related expenses) which otherwise would have been allocated to your account based on your respective Underwriting Percentage to your account based on the ratio of your Original Underwriting Obligation to the Original Underwriting Obligations of all Underwriters other than the advising Underwriter or Underwriters, or in such other manner as the Manager will determine.

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