Wrap fee program definition

Wrap fee program means an advisory program under which a specified fee or fees, not based directly upon transactions in a client's account, is charged for investment advisory services (which may include portfolio management or advice concerning the selection of other investment advisers) and the execution of client transactions.

Wrap fee program means a program under which any client is charged a specified fee or fees not based directly upon transactions in a client's account for investment advisory services performed by an investment adviser that is licensed or required to be licensed under Chapter 1707. of the Revised Code, which may include portfolio management or advice concerning the selection of other investment advisers, and execution of client transactions.

Wrap fee program means an advisory program under which one (1) or more specified fees, not based directly upon transactions in a client’s account, are charged for investment advisory services and the execution of client transactions. The investment advisory services may include portfolio management or advice concerning the selection of other investment advisers.

Examples of Wrap fee program in a sentence

• Wrap fee program" means an advisory program under which a specified fee or fees, not based directly upon transactions in a client's account, is charged for investment advisory services (which may include portfolio management or advice concerning the selection of other investment advisers) and the execution of client transactions.

• Wrap fee program" means an advisory program under which a specified fee or fees, not based directly upon transactions in a client's account, is charged for investment advisory services (which may include portfolio management or advice concerning the selection of other investment advis- ers) and the execution of client transactions.[Statutory Authority: RCW 21.20.450 and 21.20.110 (1)(g).

• G20 members reiterated their commitment to resist protectionism at the Seoul Summit in November 2010, and requested UNCTAD and the OECD to continue monitoring and reporting publicly on their investment policy changes.UNCTAD is also contributing to the implementation of the G20’s Multi-Year Action Plan on Development, with a particular focus on the initiative’s investment Engineers assemble a concentrated photovoltaic generator in San Diego, California.

• For pur- poses of this section, a limited liability partnership or limited liability limited partnership is a "limited partnership." (5) Wrap fee program brochures.

• Wrap fee program" means an advisory program under which a specified fee or fees, not based directly upon transactions in a cli- ent's account, is charged for investment advisory services (which may include portfolio management or advice concerning the selection of other investment advisers) and the execution of client transactions.)) AMENDATORY SECTION (Amending WSR 00-01-001, filed 12/1/99, effective 1/1/00) WAC 460-24A-150 Performance compensation arrangements.

More Definitions of Wrap fee program

Wrap fee program means a program under which a specified fee or fees, not based directly upon transactions in a cli- ent’s account, are charged for investment advisory and brokerage services, which may include portfolio management or advice con- cerning the selection of other investment advisers and the execu- tion of client transactions.

Wrap fee program means an advi- sory program under which a specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory serv- ices (which may include portfolio man- agement or advice concerning the se- lection of other investment advisers) and the execution of client trans- actions.[75 FR 49268, Aug. 12, 2010] § 275.204–4 Reporting by exempt re- porting advisers.

Wrap fee program means a program under which any client is charged a specified fee or fees not based directly upon transactions in a client’s account for investment advisory services (which may include portfolio manage- ment or advice concerning the selec- tion of other investment advisers) and execution of client transactions.(Secs. 204, 206(4) and 211(a) (15 U.S.C. 80b–4and 80b–11(a)))[44 FR 7877, Feb. 7, 1979, as amended at 47 FR22507, May 25, 1982; 59 FR 21661, Apr. 26, 1994] § 275.204A–1 Investment adviser codes of ethics.

Wrap fee program means a program under which any client is charged a specified fee or fees not based directly upon transactions in a client's account for investment advisory services performed by an investment adviser that is licensed or required to be licensed under Chapter 1707.

Wrap fee program means an advi- sory program under which a specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory serv- ices (which may include portfolio man- agement or advice concerning the se- lection of other investment advisers) and the execution of client trans- actions.[75 FR 49268, Aug. 12, 2010, as amended at 81FR 60458, Oct. 31, 2016; 84 FR 33630, July 12,2019] § 275.204–4 Reporting by exempt re- porting advisers.

Wrap fee program means an advi- sory program under which a specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory serv- ices (which may include portfolio man- agement or advice concerning the se- lection of other investment advisers) and the execution of client trans- actions.[75 FR 49268, Aug. 12, 2010] § 275.204A–1 Investment adviser codes of ethics.

Wrap fee program means a program that charges a client a fee which is not directly based upon transactions in the client’s account for: