Investment Control definition

Investment Control means the direct or indirect power to exercise controlling influence over the investment decisions and securities held by a RIC or managed client account.
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Investment Control means the power to exercise controlling influence over the assets of an account.
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Investment Control. With some commercially sponsored Funds, you can use your own financial advisor to manage the Fund’s investment.
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Examples of Investment Control in a sentence

  • Successful contractor's support may entail preparation of products required by NRC Management Directive 2.2, "Capital Planning and Investment Control." Successful contractors may provide subordinate products which NRC staff will integrate into MD 2.2 products.

  • The abrdn CL IOC is supported in this role through oversight of Third Party Supplier Service Level Agreement arrangements by Operations and oversight of client investment activity reviewed by the Investment Control Risk & Exposures Committee.

  • The Quoter’s technical approach shall clearly and concisely describe its approach to assisting with and participating in developing documentation in connection with budget planning, programming, and execution (PPBE); Capital Planning and Investment Control (CPIC) policies, processes, procedures, and requirements; developing, maintaining, updating, and delivering Resource Allocation Plans (RAPs); annual Spend Plans; Capital Investment Plans (CIPs); and, OMB-300 Business Case documentation.

  • The contractor shall support the Capital Planning and Investment Control (CPIC) process for the Educational Assessment IT investment, which includes all of NAEP’s IT spending activities and a plan.


More Definitions of Investment Control

Investment Control means any instance where a Covered Person, or an Immediate Family Member, exercises direct or indirect influence or control over the purchase, sale, disposition or ownership of a security.
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Investment Control means the power to influence or direct the disposition or acquisition of an investment. This would include any securities transaction in which the employee participates in the decision to buy or sell. It may not always be clear if investment control exists. For example, an employee may have investment control over a transaction in a discretionary account. That could happen if the employee expresses an investment opinion or suggestion regarding a specific security to the broker who has discretionary authority over the account. If it is not clear if you have investment control, talk to the Compliance Officer.
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Investment Control means that an Access Person (1) makes or participates in making decisions regarding the purchase or sale of securities by or on behalf of any Client or (2) any transactions in an account in which an Access Person has beneficial ownership. Excluded from this definition is a Financial Advisor’s discretionary authority to rebalance within the Signature Choice program and limited discretion to purchase or sell mutual funds or ETFs.
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Related to Investment Control

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

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • Investment Company Client means any Investment Company (or series thereof ) as to which the Firm is an investment adviser or investment sub-adviser.

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

  • Investment Entity means any Entity that conducts as a business (or is managed by an entity that conducts as a business) one or more of the following activities or operations for or on behalf of a customer:

  • Investment Management Agreement means the Investment Management Agreement made

  • 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.

  • Investment Management Services means any services which involve: (i) the management of an investment account or Fund (or portions thereof or a group of investment accounts or Funds); (ii) the giving of advice with respect to the investment and/or reinvestment of assets or funds (or any group of assets or funds); or (iii) otherwise acting as an “investment adviser” within the meaning of the Investment Advisers Act of 1940, as amended, including, without limitation, in each of the foregoing cases, performing activities related or incidental thereto.

  • Investment Management Fee means each of the Senior Investment Management Fee, the Subordinated Investment Management Fee and the Incentive Investment Management Fee.

  • Investment Consultant means any individual or organization employed to provide advisory services, including advice on investment objectives and/or asset allocation, manager search, and performance monitoring.

  • regulated investment companies (as defined in Section 851 of the Code), all as from time to time in effect (collectively, the "Policies"), and with all applicable provisions of law, including without limitation all applicable provisions of the Investment Company Act of 1940 (the "1940 Act") and the rules and regulations thereunder. Subject to the foregoing, the Sub-Adviser is authorized, in its discretion and without prior consultation with the Manager, to buy, sell, lend and otherwise trade in any stocks, bonds and other securities and investment instruments on behalf of the Series, without regard to the length of time the securities have been held and the resulting rate of portfolio turnover or any tax considerations; and the majority or the whole of the Series may be invested in such proportions of stocks, bonds, other securities or investment instruments, or cash, as the Sub-Adviser shall determine.

  • 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;

  • Registered Investment Company means any one or more corporations, partnerships or trusts registered under the Investment Company Act of 1940 for which Fidelity Management and Research Company serves as investment advisor.

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

  • Regulated investment company has the meaning set forth in Section 851 of the Code.

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

  • 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 Management Agreement or IMA means the Investment Management Agreement (IMA) dated December 9, 2002, executed between UTI Trustee Company Private Limited and UTI Asset Management Company Limited.

  • Family of Investment Companies as used herein means two or more registered investment companies (or series thereof) that have the same investment adviser or investment advisers that are affiliated (by virtue of being majority owned subsidiaries of the same parent or because one investment adviser is a majority owned subsidiary of the other).

  • 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.

  • Investment Services means the Investment Services under the Company’s CIF license which can be found in the document “Company Information” on the Website.

  • Investment Personnel means: (a) Portfolio Managers and other Advisory Persons who provide investment information and/or advice to the Portfolio Manager(s) and/or help execute the Portfolio Manager's(s') investment decisions, including securities analysts and traders; (b) any natural person in a control relationship to the Fund who obtains information concerning recommendations made to the Fund with regard to the purchase or sale of a security; and (c) certain other individuals as designated by the Compliance Officer.

  • Investment Date means the date of the Investment Commitment Closing.

  • Investment Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Investment Program means a Person for whom Shipper or a direct or indirect subsidiary of Shipper acts as a general partner, managing partner or manager and the securities of which have been offered and sold to investors.

  • Investment Agreements or “Flow-Through Agreements” means written agreements pursuant to which the Partnership will subscribe for Flow-Through Shares (including Flow-Through Shares issued as part of a unit) or agreements by the Partnership to otherwise invest in or purchase securities of a Resource Issuer, and in respect of Flow-Through Shares comprised of units, the Resource Issuer will covenant and agree: