Investment advisor representative definition

Investment advisor representative means any partner, officer, director of, or a person occupying a
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Investment advisor representative means any partner, officer, director of, or a person occupying a similar status or performing similar functions, or other individual, except clerical or ministerial per- sonnel, who is employed by or associated with (a) an investment advisor registered or required to be registered under this chapter and who does any of the following: (i) makes any recommendations or otherwise renders advice regarding securities, (ii) manages accounts or portfolios of clients, (iii) determines which recommendations or advice regarding securities should be given, (iv) prepares reports or analyses concerning securities, (v) solicits, offers or negotiates for the sale of or sells invest- ment advisory services, or (vi) supervises employees who perform any of the foregoing; or (b) a fed- eral covered advisor, subject to the limitations of § 203 A of the Investment Advisers Act of 1940, as the Commission may designate by rule or order. "Investment advisor representative" does not include such other persons employed by or associated with either an investment advisor or a federal covered advisor not within the intent of this definition as the Commission may designate by rule or determine by order pursuant to § 13.1-525.
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Investment advisor representative. (IAR) means employee or individual contractor affiliate, registered in an investment advisor capacity with “Advisor.”
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Examples of Investment advisor representative in a sentence

  • REPRESENTATIVE agrees to obtain the appropriate licenses requires by state law to practice as a Registered Investment Advisor Representative (NASD Series 65 or 66).

  • In early August 2006, after reviewing the Company’s initial findings, the Audit Committee (the “Audit Committee”) of the Board of Directors (the “Board”) began conducting a comprehensive review of the Company’s stock option granting practices and retained independent counsel and forensic accounting experts to assist in the review.

  • The Investment Advisor Representative is not bound to specific methods of analysis or investment strategies for the management of investment portfolios, but rather, as previously stated, the Investment Advisor will consider the Client’s unique situation and all information gathered at the account opening, as well as changes to the Client’s financial picture over time.

  • The third party money manager’s performance, like that of investment performance, is reviewed periodically by the Firm’s Management and by the Client’s Investment Advisor Representative and discussed with the Client.

  • Methods of Analysis, Investment Strategies and Risk of Loss When employing various methods of analysis and investment strategies, the Investment Advisor Representative will incorporate the needs and investment objectives, as well as the Client’s time horizon and risk tolerance.

  • Any Supervised Person that is an Investment Advisor Representative (“IAR”) of the Advisor must be classified as an “Access Person” due to access to Client information.

  • It is the duty of each Investment Advisor Representative, (IAR), employee and officer of First Affirmative Financial Network, LLC, to place the interests of clients first.

  • All Supervised Persons are responsible for, and have attested to, as a requirement of their employment or registration as an Investment Advisor Representative ("IAR"), to review, be familiar with, and comply with this Advisor Code and the Compliance Manuals.Supervised Persons must comply with all the laws, rules and regulations applicable to the business in which they engage, including among others, securities, banking and other federal, state and local laws.

  • Any Supervised Person that is an Investment Advisor Representative (“IAR”) of the Advisor must be classified as an “Access Person” due the access to Client information.

  • He is licensed as a Registered Investment Advisor Representative, but he is not a Certified Financial Planner.


More Definitions of Investment advisor representative

Investment advisor representative means a supervised person of Seller, in his or her capacity as an investment adviser (as defined in Section 202 of the Investment Advisers Act) and who are listed on Schedule 2.1.
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Investment advisor representative means any partner, officer, director of, or a person occupying a similar status or performing similar functions, or other individual, except clerical or ministerial personnel, who is employed by or associated with an investment advisor, except clerical or ministerial personnel, registered or required to be registered under this chapter, or who has a place of business located in this Commonwealth and is employed by or associated with a person registered or required to be registered as an investment advisor under § 203 of the Investment Advisers Act of 1940; and who does any of the following: (i) makes any recommendation or otherwise renders advice regarding securities, (ii) manages accounts or portfolios of clients, (iii) determines which recommendations or advice regarding securities should be given, (iv) prepares reports or analyses concerning securities, (v) solicits, offers or negotiates for the sale of or sells investment advisory services, or (vi) supervises employees who perform any of the foregoing.
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Related to Investment advisor representative

  • Investment adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Investor Representative has the meaning assigned to such term in Section 2.1(a).

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Advisory representative means any Supervised Person, who in connection with his or her regular functions or duties, normally makes, participates in, or otherwise obtains current information regarding the Purchase or Sale of a Security by the Firm, or whose functions relate to the making of any recommendations with respect to such purchases or sales, and any natural Person in a Control relationship to the Firm who obtains information concerning recommendations made concerning a Purchase or Sale of a Security. This definition includes but is not limited to the following: partner, officer, Manager, investment person, Portfolio Manager and any other Supervised Person of the Firm designated as an “Advisory Representative” from time to time by the Review Officer.

  • Purchaser Representative means any person who satisfies all of the following conditions or who the issuer reasonably believes satisfies all of the following conditions:

  • Investment Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;

  • Controlling Note Holder Representative shall have the meaning assigned to such term in Section 6(a).

  • Sub-Investment Manager means for each Fund any sub-investment manager or sub-investment managers indicated in the relevant Supplement and any sub-investment manager that the relevant Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Managers will be provided to Shareholders upon request and details thereof will be disclosed in the periodic reports to Shareholders, and provided further that each Sub-Investment Manager may appoint a sub-investment manager/advisor to manage/advise any portion of the assets of any Fund to which it has been appointed Sub-Investment Manager in accordance with the requirements of the Central Bank Rules;

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) [replaced by The Companies Act, 2013 (No.18 of 2013)] and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund.

  • Lead Securitization Note Holder Representative means the “Directing Certificateholder” or equivalent Person under the Lead Securitization Servicing Agreement.

  • Non-Lead Securitization Noteholder Representative shall have the meaning assigned to such term in the definition of “Non-Lead Securitization Noteholder”.

  • Investment Advisory Agreement means an agreement under which Company or a Company Subsidiary acts as an investment adviser or sub-adviser to, or manages any investment or trading account of, any Client.

  • Investment Advisory Services means (a) advice with respect to the desirability of investing in, purchasing or selling securities or other property, including the power to determine what securities or other property shall be purchased or sold, but not including furnishing only statistical and other factual information (such as economic factors and trends); and (b) the provision of financial, economic or investment management services, but only if ancillary and related to the advice referred to in clause (a) above.

  • Note Holder Representative means a Controlling Note Holder Representative or a Non-Controlling Note Holder Representative, as applicable.

  • Non-Lead Securitization Note Holder Representative means the “Directing Certificateholder” or equivalent Person under the Non-Lead Securitization Servicing Agreement.

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) replaced by The Companies Act, 2013 (No. 18 of 2013) and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund;

  • Non-Controlling Note Holder Representative shall have the meaning assigned to such term in Section 6(c).

  • Holder Representative has the meaning specified in Section 11.1.

  • Independent Advisor means an independent, nationally recognized accounting firm approved by the Parties, where such approval shall not be unreasonably withheld by either Party.

  • Lender Group Representatives has the meaning specified therefor in Section 17.9 of the Agreement.

  • Independent Adviser means an independent financial institution of international repute or an independent financial adviser with appropriate expertise appointed by the Issuer under Condition 5(j)(i).

  • CLO Asset Manager means, with respect to any Securitization Vehicle that is a CLO, the entity that is responsible for managing or administering the underlying assets of such Securitization Vehicle or, if applicable, the assets of any Intervening Trust Vehicle (including, without limitation, the right to exercise any consent and control rights available to the Directing Holder).

  • Issuer Representative means the Chairman of the Board of the Issuer or such other person at the time, and from time to time, designated by written certificate of the Issuer furnished to the Borrower containing the specimen signature of such person and signed on behalf of the Issuer by its Chairman. Such certificate shall designate an alternate or alternates, any of whom may act at any time as Issuer Representative.

  • Member Representative means an individual who can make OHP-related decisions for a member who is not able to make such decisions themselves.