No Investment Advice definition

No Investment Advice. We do not assume any responsibility for rendering advice with respect to the investment and reinvestment of the funds on deposit within your Account and shall not be liable for any loss which results from your exercise of investment control over your Account. You (or as directed by the Beneficiary upon your death) shall have and exercise exclusive responsibility for control over the investment of any funds within the Account, and we have no duty to question the investment directives provided by you.
Sample 1
No Investment Advice. We do not assume any responsibility for rendering advice with respect to the investment and reinvestment of the funds on deposit within your Account and shall not be liable for any loss which results from your exercise of investment control over your Account. You (or as directed by the Beneficiary upon your death) shall have and exercise exclusive responsibility for control over the investment of any funds within the Account, and we have no duty to question the investment directives provided by you. Disclosures and Voting: We shall deliver, or cause to be executed and delivered, to you all notices, prospectuses, financial statements, proxies and proxy soliciting materials relating to Investments held for the benefit of the Account. We shall not vote any Investments or take any other action, pursuant to such documents, with respect to such 045-0131 11/07 assets except only in accordance with such directions you provide to us regarding any such vote. Miscellaneous Expenses: You agree to pay any and all expenses incurred in connection with any Investments made for the benefit of the Account and any transfer taxes incurred in connection with the investment or reinvestment of the assets of the Account. The Bank will not charge you a fee for placing and administering an investment you direct us to make in a mutual fund. However, the mutual fund will charge fees for management, administrative services, and other expenses of the fund, which are disclosed in the prospectus. The Bank may receive a portion of the shareholder servicing fee from a mutual fund for recordkeeping and other services provided in connection with your investment, but such shareholder servicing fee does not represent an additional fee or charge to you.
Sample 1
No Investment Advice. The Custodian does not assume any responsibility for rendering advice with respect to the investment and reinvestment of Designated Beneficiary’s account and shall not be liable for any loss which results from Depositor’s and Responsible Individual’s exercise of control over the Xxxxxxxxx ESA.
Sample 1

Examples of No Investment Advice in a sentence

  • No Investment Advice The Board, Program staff, and contract employees are not registered investment advisors or broker/dealers, and therefore cannot offer investment advice or make recommendations with respect to enrolling in the Program or the selection of Investment Options.

  • No Investment Advice, Offer or Recommendations You acknowledge that the content of the Services is for general, informational purposes only and is not intended to constitute, and does not constitute, investment, strategic or other advice or an offer, solicitation, endorsement or recommendation to sell or buy any securities or other assets or promise to undertake or solicit business.

  • No Investment Advice or Recommendations None of the information provided through the USAA Online constitutes investment advice, and the views expressed should not be taken as advice to buy or sell any security.

Related to No Investment Advice

  • 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;

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

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

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

  • 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 means, as to any Person, any direct or indirect acquisition or investment by such Person, whether by means of (a) the purchase or other acquisition of capital stock or other securities of another Person, (b) a loan, advance or capital contribution to, Guarantee or assumption of debt of, or purchase or other acquisition of any other debt or equity participation or interest in, another Person, including any partnership or joint venture interest in such other Person and any arrangement pursuant to which the investor Guarantees Indebtedness of such other Person, or (c) the purchase or other acquisition (in one transaction or a series of transactions) of assets of another Person that constitute a business unit. For purposes of covenant compliance, the amount of any Investment shall be the amount actually invested, without adjustment for subsequent increases or decreases in the value of such Investment.

  • Investment Decisions Investment, trading, lending or other financial decisions, strategies or recommendations with respect to Investments, whether on behalf of the Master Servicer or any Affiliate thereof, the Special Servicer or any Affiliate thereof, the Operating Advisor or any Affiliate thereof, the Certificate Administrator or any Affiliate thereof, or the Trustee or any Affiliate thereof, as applicable, or any Person on whose behalf the Master Servicer or any Affiliate thereof, the Special Servicer or any Affiliate thereof, the Operating Advisor or any Affiliate thereof, the Certificate Administrator or any Affiliate thereof, or the Trustee or any Affiliate thereof, as applicable, has discretion in connection with Investments.

  • 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.

  • 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.

  • U.S. Investment Company Act means the United States Investment Company Act of 1940, as amended;

  • Investment Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

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

  • Federal covered investment adviser means a person registered under the Investment Advisers Act of 1940.

  • Restricted Investment means an Investment other than a Permitted Investment.

  • 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.

  • Restricted Investments means all Investments except the following:

  • 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.

  • Transaction Personal Information has the meaning ascribed thereto in Section 9.1;

  • 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).

  • the 2004 Act means the Traffic Management Act 2004;

  • Independent Investment Bank means one of the Reference Treasury Dealers that the Issuer appoints to act as the Independent Investment Bank from time to time.

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