Soft Dollar Arrangements definition

Soft Dollar Arrangements. Soft dollar arrangement means any agreement in any form under which the Bank receives services in return for investment business put with, booked with or routed through another institution or firm. The Bank is expressly authorized by the Customer to engage in soft dollar arrangements with its Agents, service providers, or any other third party, including but not limited to the sourcing of research reports on financial products and markets. The Customer agrees and acknowledges that such arrangements are in place to provide an overall better service for the Bank’s customers as a whole. The Customer also acknowledges that such arrangements can have an impact on the Services and Ancillary Services to be provided or procured by the Bank hereunder, including the Investments for and on behalf of the Customer.
Soft Dollar Arrangements has the meaning ascribed thereto in Section 3.1(i)(v)(B).

Examples of Soft Dollar Arrangements in a sentence

  • Soft Dollar Arrangements- SAMG reserves the right, on behalf of its discretionary clients, to direct an amount of brokerage commissions to a broker-dealer, usually under an informal agreement, in return for research-related services and proprietary research that SAMG uses in making investment decisions for client accounts.

  • The Chief Compliance Officer may request reports from sub-adviser’s on a periodic basis to assess compliance with client investment objectives and restrictions.Process for Monitoring Brokerage and Trading Practices including Best Execution and Soft Dollar Arrangements.

  • Symphony will develop a complete set of policies and procedures before Symphony enters into any Third Party Soft Dollar Arrangements.

  • Authorized Signer’s Resolution Fifth Third Bank National Association June 2022 Classification: Restricted Company Tax ID: 800000000 Company Name: RM Opportunity Trust Soft Dollar Arrangements When appropriate under its discretionary authority and consistent with its duty to seek best execution, Fifth Third Bank directs trades for client accounts to brokers who provide the firm with brokerage and research services.

  • Appendix 7 – Soft Dollars Books and Records Master List of Soft Dollar Arrangements The Operations Department will maintain a list of all soft dollar arrangements, which will include: · the name and a brief description of the purpose of the payment; · the user(s); · the identity of the third party provider; · the amount of the soft dollar commitment; · the soft dollar/hard dollar ratio; and · information regarding the terms of the contract, if any.

  • Soft Dollar Arrangements The Company may select particular brokers or dealers to effect portfolio transactions, which provide brokerage and research services to the Company or to the accounts it manages.

  • Page 35 of 37 Soft Dollar Arrangements When appropriate under its discretionary authority and consistent with its duty to seek best execution, Fifth Third Bank directs trades for client accounts to brokers who provide the firm with brokerage and research services.

Related to Soft Dollar Arrangements

  • Foreign Government Scheme or Arrangement has the meaning specified in Section 5.12(d).

  • Travel Arrangements means: (a) transportation: (b) accommodations: and (c) other specified services arranged by the Travel Supplier for the covered trip.

  • Intercreditor Arrangements means the First Lien Intercreditor Agreement and the Existing Intercreditor Agreement, in each case as amended, novated, supplemented, restated, or modified from time to time.

  • legal arrangement means a trust or other similar arrangement;

  • referral arrangement means any arrangement in which a registrant agrees to pay or receive a referral fee;

  • Access Arrangement means an arrangement for access to a Covered Pipeline that has been approved by the Relevant Regulator.

  • Significant Transaction or Arrangement means any individual transaction or arrangement that exceeds or is likely to exceed 10% of the total revenues or total expenses or total assets or total liabilities, as the case may be, of the material unlisted subsidiary for the immediately preceding accounting year.

  • Life-of-the-unit, firm power contractual arrangement means a unit participation power sales agreement under which a utility or industrial customer reserves, or is entitled to receive, a specified amount or percentage of nameplate capacity and associated energy from any specified unit and pays its proportional amount of such unit's total costs, pursuant to a contract:

  • Compensation Arrangement means any direct or indirect compensatory payment or other financial agreement, arrangement or understanding with any person or entity other than the Corporation, including any agreement, arrangement or understanding with respect to any direct or indirect compensation, reimbursement or indemnification in connection with candidacy, nomination, service or action as a nominee or as a director of the Corporation;

  • Unit Price Arrangement means that part of the Contract that prescribes the product of a price per unit of measurement multiplied by a number of units of measurement for performance of the Work to which it relates;

  • Benefit Arrangement means at any time an employee benefit plan within the meaning of Section 3(3) of ERISA which is not a Plan or a Multiemployer Plan and which is maintained or otherwise contributed to by any member of the ERISA Group.

  • Collective Bargaining Agreement means any written or oral agreement, memorandum of understanding or other contractual obligation between the Company or any of its Subsidiaries and any labor organization or other authorized employee representative representing Service Providers.

  • Collective Bargaining Agreements shall have the meaning provided in Section 5.05.

  • Multiple employer welfare arrangement means a multiple employer welfare arrangement

  • Interlocal Agreement means an agreement entered into under this act.

  • Continuing Arrangements means those arrangements set forth on Schedule 1.1(24) and such other commercial arrangements among the Parties that are intended to survive and continue following the Separation Time; provided, however, that for the avoidance of doubt, Continuing Arrangements shall not be Third Party Agreements.

  • Benefit Arrangements has the meaning set forth in Section 4.20(b).

  • Interconnection arrangements means arrangements governing the physical connection of two or more networks to allow the use of another's network to hand off traffic where it is ultimately delivered (e.g., connection of a customer of telephone provider A to a customer of telephone company B) or sharing data and other information resources.

  • Foreign Benefit Arrangement any employee benefit arrangement mandated by non-US law that is maintained or contributed to by any Group Member or any ERISA Affiliate.

  • Optional Extended Local Calling Scope Arrangement Traffic is traffic that under an optional Extended Local Calling Scope Arrangement chosen by the Customer terminates outside of the Customer’s basic exchange serving area.

  • Management Arrangements means the arrangements for the strategic management of the relationship between the Authority and the Contractor, including arrangements for monitoring of the Contractor’s compliance with the Specification, the Service Levels, the Award Procedures and the terms of this Framework Agreement, set out in Schedule 4.

  • Currency Exchange Protection Agreement means, in respect of a Person, any foreign exchange contract, currency swap agreement, currency option or other similar agreement or arrangement designed to protect such Person against fluctuations in currency exchange rates.

  • admission arrangements means the arrangements for a particular school or schools which govern the procedures and the decision making for the purposes of admitting pupils to the school.

  • Selective contracting arrangement means an arrangement in which a carrier participates in selective contracting with one or more providers, and which arrangement contains reasonable benefit differentials, including, but not limited to, predetermined fee or reimbursement rates for covered benefits applicable to participating and nonparticipating providers.

  • Cash Management Arrangements means all cash management arrangements pursuant to which Honeywell or its Subsidiaries automatically or manually sweep cash from, or automatically or manually transfer cash to, accounts of SpinCo or any member of the SpinCo Group.

  • Local Exchange Routing Guide or "LERG" means a Telcordia Technologies Reference Document used by LECs and IXCs to identify NPA-NXX routing and homing information as well as Network Element and equipment designations. "Local Interconnection Service (LIS) Entrance Facility" is a DS1 or DS3 facility that extends from CLEC's Switch location or Point of Interconnection (POI) to the CenturyLink Serving Wire Center. An Entrance Facility may not extend beyond the area served by the CenturyLink Serving Wire Center. "Local Interconnection Service (LIS)" is the CenturyLink product name for its provision of Interconnection as described in Section 7 of this Agreement.