Advisory Service Clause Samples
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Advisory Service. 8.1 In providing our services under this Agreement, for the purposes of Regulatory Requirements, we will treat you as a Retail Client unless we agree with you otherwise. Categorisation as a Retail Client affords you the highest degree of consumer protection under the Regulatory Requirements. However this does not mean that you will automatically be eligible to bring a claim under any investor compensation schemes or ombudsman service available.
8.2 As a retail client, you may have the right to elect to be re-categorised as a professional client (referred to as opting up). This right is available to private individual investors and other retail clients. We can only opt you up if certain criteria are met and certain procedures are followed. We must carry out an adequate assessment of your expertise, experience and knowledge to satisfy ourselves that you are capable of making investment decisions and understanding the risks involved. Professional clients typically have greater knowledge and experience of investing in financial markets and a higher appetite for risk and are given a lesser degree of consumer protection under Regulatory Requirements.
8.3 We will only accept a request to opt-up if we are permitted to do in accordance with the criteria in Regulatory Requirements (which require us to review your financial situation and your ability to bear the risk of a lesser degree of consumer protection).
8.4 We will consider any request on a case-by-case basis against the criteria set out in Regulatory Requirements. We will inform you of any limitations that such a re-categorisation will entail, together with the scope of that re-classification. If, following such a request, you are categorised as a professional client, you must keep us informed of any change in your financial circumstances which may affect your categorisation as a professional client. We will provide you with further details about the kind of information which may be relevant to your categorisation and which you will need to provide to us.
8.5 If we notify you that we will treat you as a professional client, you may request to be treated as a retail client either generally or in relation to one or more particular services or in relation to one or more transaction or product, but that may mean terminating the account you have with us.
a) We will evaluate your financial situation, investment objectives, risk profile, capacity for loss and knowledge and experience based on the information you pro...
Advisory Service. If you are designated as an advisory customer, we accept responsibility for advising you as to the merits of any particular investment but not as to the suitability of an investment in relation to your individual circumstances, requirements and objectives. We may provide you with investment advice on your request. Advice from us will be based on the information supplied by you, which should be updated as necessary before we give you advice on a particular transaction. If you do not inform us of any investment or types of investments, which you do not wish us to recommend or purchase for you, we may recommend to you any investment. (However, under the rules of the FCA, we may recommend to you any investments which we have reasonable grounds for believing are suitable for you). We do not undertake discretionary management of your investments; any investment advice we give you is provided on the understanding that we do not accept responsibility on a continuing basis for advising on the composition of your portfolio. Any transactions within an advisory managed account (buys and sells) are subject to an advisory commission irrespective of whether the transaction is chosen by the customer i.e. ‘execution only’.
Advisory Service. As a backup to the results obtained, a series of information leaflets have been generated with information about the various forms of LGMD for the patient and clinicians. Information material that was generated in conjunction with the patient charity is regularly reviewed and expanded into new areas. Advice is available on specific management and follow-up implications (which will be the responsibility of the referring clinician) and the genetic advice appropriate to the patient and other family members. Follow-up analysis of further at-risk relatives may also be indicated. This material is given to patients in clinic and/or to the referring clinician and any other clinicians involved in the care management of the patient. Gate keeping is according to clinical criteria and result of the muscle biopsy analysis. There are some exceptions (i.e. FKRP and LMNA gene), where analysis of the muscle biopsy may not be strictly necessary or even unhelpful, but for these genes we require the relevant clinical history to be provided in order to judge the relevance of the request. The service provider is engaging patients, public and patient groups in order to continuously improve the service, its design and what it offers. In this perspective, communication with public and patients group is pivotal. The provider or the service will work with NHS England to ensure sufficient considerations are given to communications. Here are listed some of the recent activities done by NHS England service for LGMDs towards public engagement, communication with patients and patients group:
Advisory Service. (i) supervise and manage all aspects of the Series operations;
(ii) provide the Series or obtain for each, and thereafter supervise, such executive, administrative, clerical and shareholder servicing services as are deemed advisable by the Board of Trustees;
(iii) arrange, but not pay for, the periodic updating of prospectuses and supplements thereto, proxy material, tax returns, reports to the Series shareholders and reports to and filings with the SEC and state Blue Sky authorities;
(iv) provide the Series with, or obtain for each, adequate office space and all necessary office equipment and services, including telephone service, heat, utilities, stationery supplies and similar items for the Series principal office;
(v) provide the Board of Trustees on a regular basis with financial reports and analyses on the Series operations and the operations of comparable investment companies;
(vi) obtain and evaluate pertinent information about significant developments and economic, statistical and financial data, domestic, foreign or otherwise, whether affecting the economy generally or the Series, and whether concerning the individual issuers whose securities are included in the Series or the activities in which they engage, or with respect to securities which the Adviser considers desirable for inclusion in the Series;
(vii) determine what issuers and securities shall be represented in the Series respective portfolios and regularly report them to the Board of Trustees;
(viii) formulate and implement continuing programs for the purchases and sales of the securities of such issuers and regularly report thereon to the Board of Trustees; and
(ix) take, on behalf of the Series, all actions which appear necessary to carry into effect such purchase and sale programs and supervisory functions as aforesaid, including the placing of orders for the purchase and sale of portfolio securities.
Advisory Service. We provide technical advice in good faith based on our research and experience. All data and information regarding the suitability and use of the products, as well as the protection of third-party rights, is not binding and therefore does not exempt the buyer from carrying out its own tests on the suitability of the products for the intended processes and purposes. No liability for advisory services will therefore be accepted unless that liability has been expressly stipulated in writing.
Advisory Service. Executive shall serve as an advisor to the then Chief Executive Officer of the Company from the CEO Retirement Date through the Final Retirement Date. In such role, Executive shall be available, on reasonable terms and consistent with Executive’s other commitments, and as reasonably requested by the then Chief Executive Officer of the Company, to provide advice and business information to the then Chief Executive Officer of the Company in order to effectuate an orderly transition.
Advisory Service. 2.1 NCC shall provide a core health and safety advice service to Breckland which consists of:
(a) the provision of basic health and safety advice by email and telephone.
(b) the provision of advice on the safety aspects of building and refurbishment projects.
(c) collating and reviewing Breckland incident reports.
(d) making reports to HSE where incidents are statutorily reportable.
(e) undertaking incident investigations for reportable incidents up to a maximum of 3 a year and production of an investigation report excluding fatality investigations and visits out of office hours.
(f) undertaking one premise/area specific monitoring inspection per annum and the production of a findings report.
(g) reviewing up to 10 management risk assessments per annum on request and advising on adequacy. These must be sent to NCC in an electronic format.
(h) production of a basic annual management information report on a-g above
2.2 The Advice Service will operate on business days at the following times:
Advisory Service. 8.1 In providing our services under this Agreement, for the purposes of Regulatory Requirements, we will treat you as a Retail Client. Categorisation as a Retail Client affords you the highest degree of consumer protection under the Regulatory Requirements. However this does not mean that you will automatically be eligible to bring a claim under any investor compensation schemes or ombudsman service available.
a) We will evaluate your financial situation, investment objectives, risk profile, capacity for loss and knowledge and experience based on the information you provided, and we will advise you in relation to investment opportunities taking these into account. You should tell us if your financial situation, investment objectives, risk profile or knowledge and experience changes and until such time as you do, we shall be entitled to rely on the most recent information which we hold where it is reasonable for us to do so.
b) In accordance with the FCA Rules and in order to be able to act in your best interests, we will assess which of our portfolios are suitable for you. We will provide you with a recommendation that includes an outline of the type of portfolio most suitable to you based on your investment objectives, attitude to risk, capacity for risk, financial situation, knowledge and experience and time horizon.
c) Our fund managers monitor and review our model portfolios with an automated suitability review.
d) When you make changes to your account that affect your Portfolio choice, we will review your actions and may contact you to discuss the decision to ensure your Portfolio remains suitable for you.
a) In accordance with the FCA Rules and to enable us to act in your best interests, where we have agreed to provide you with a discretionary investment management service we will assess the suitability of any discretionary management decision which we make, to ensure the Portfolio remains suitable for you.
b) This means that we will assess whether investment in the portfolio;
I. meets your investment objectives and risk profile;
II. is such that you are able financially to bear any related investment risk consistent with your investment objectives and risk profile; and,
III. is such that you have the necessary knowledge and experience to understand the risks involved with the transaction or with the management of your portfolio (as the case may be).
c) Unless we agree otherwise with you in writing, we will assess suitability primarily by reference t...
Advisory Service. You acknowledge and agree that immediately upon your Separation due to termination of your employment by the Company without Cause or your resignation of employment with the Company for Good Reason that (i) this Employment Agreement will terminate and (ii) you and the Company will immediately enter into the transitional advisory agreement and release of claims (the “Transitional Advisory Agreement and Release of Claims”) set forth on Annex A hereto.
Advisory Service. PIDC will, throughout the term of this engagement, in consideration of the Advisory Fee set forth in Paragraph 2 above, provide advise designed toward promoting the corporate goals and assisting the Company in building its Global organization. PIDC will work with the Company to develop corporate strategy, increase global market share, introduce synergistic relationships and strategic partners and expand trading lines and/or margin financing. PIDC shall, further, advise and assist the Company with respect to any proposed financing sources, capital funding needs in order to assess short- and long-term financing (alternatives, structures, mergers, acquisitions, consolidations or proposed transactions). PIDC shall, further, advise and assist the Company in negotiations with potential capital sources, merger and/or acquisition candidates, and joint venture partners. All decisions with respect to potential transactions, however, will remain the sole responsibility and determination of the Company. PIDC will, further, assist and advise the Company in the Company's preparation of any letters of intent, agreements, documents or materials that PIDC, in its sole discretion, deems appropriate to assess and achieve the growth objectives of the Company ("Materials"). It is understood that the Materials will be based upon assumptions and information provided by the Company, that PIDC would. not be required to make or be responsible for any independent analysis or investigation of any information provided by the Company, and that PIDC is entitled to rely thereon. It is further agreed that PIDC assumes no responsibility or liability as to the truth, accuracy or completeness of such information, which the Company herewith warrants to PIDC, and that PIDC shall have the right to make appropriate disclaimers to any Materials with respect thereto. Although PIDC may review and make suggestions regarding Materials, the contents, including, but not limited to, the completeness, truth and accuracy thereof, are the sole responsibility of the Company and are not that of PIDC. During the term hereof, PIDC shall provide Company with the benefit of its knowledge and experience and it is understood and acknowledged by the Company that the value of PIDC's services to be rendered hereunder is related to the quality and not necessarily the quantity thereof. Notwithstanding any provisions of this agreement, the Company acknowledges that PIDC is not acting as a securities broker-dealer, but a...