Scope of Advice Sample Clauses

The "Scope of Advice" clause defines the specific boundaries and topics that the advisor is responsible for addressing under the agreement. It typically outlines which areas, issues, or subject matter the advice will cover, and may expressly exclude certain topics or services from the advisor’s obligations. By clearly delineating what is and is not included in the advisory relationship, this clause helps manage expectations and prevents disputes over the extent of the advisor’s responsibilities.
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Scope of Advice. In the vast majority of cases, the information that we will provide you with will not constitute a personal recommendation (as defined under Applicable Regulations). On the rare occasions where we do provide you with a personal recommendation then it will be provided under the terms of a separate agreement pursuant to which, having regard to your categorisation as a Professional Client, we will assume that (a) you have the necessary level of knowledge and experience to understand the risks involved in relation to the relevant products, services or transactions; (b) you are able financially to bear any related investment risks consistent with your investment objectives; and (c) your investment objectives are consistent with the products, services and transactions that we specifically offer as detailed to you previously.
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Scope of Advice. 3.1 We provide comprehensive financial planning advice and specialist advisory services for charities, trusts and individuals. We are authorised by the FCA to provide advice on pensions, pension transfers, unit/investment trusts, quoted and unquoted securities as well as investment linked and non- investment linked insurance contracts for life, disability and critical illness. 3.2 We offer advice on products from the whole market, subject to the restriction noted in 1.2 above. 3.3 We will advise and make recommendations for you after we have assessed your needs and current financial position. We will then negotiate and liaise with the appropriate parties and help you to implement the agreed recommendations, as appropriate. 3.4 We will review annually, or more frequently if agreed, the investments made on our advice, normally from the anniversary of your first investment, by writing to you with a statement of their current value and our recommendations for any changes and/or meeting you to discuss their values and our recommendations. Ongoing reviews are provided only while payment of the fees for such services is made when due.
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Scope of Advice. We offer a comprehensive range of mortgages from across the market, but not deals that you can only obtain by going direct to a lender. For second charges or consumer buy to let mortgages, we offer a comprehensive range of mortgages from across the market, but not deals that you can only obtain by going direct to a lender. We offer the following alternative finance options: A further advance from an existing lender A second charge mortgage Consumer buy to let A re-mortgage Bridging Finance We do not offer the following finance options: An unsecured loan. We would normally be paid a procuration fee by the lender of up to 0.5% for mortgages and consumer buy to let mortgages. For example, for a mortgage of £100,000 we would receive a fee of up to £500. For mortgages and consumer buy to let mortgages up to and including £150,000 we also charge a flat fee of £250 to research the market and advise you on the most appropriate loan for your needs. The £250 is payable upfront and is only refundable if we cannot find a lender to place the mortgage with. For a second charge mortgage we will be paid a procuration fee by the lender. You may request an illustration from your adviser whenever our firm provides you with information, specific to the amount you want to borrow, following assessment of your needs and circumstances. You will receive a key facts illustration when considering a particular mortgage which will tell you about any fees relating to it.
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Scope of Advice. We offer products from a range of insurers on the basis of a fair analysis of the market for example for Term Assurance, Critical Illness and Permanent Health Insurance.
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Scope of Advice. The scope of advice covers the extent to which we extend our research when we are reviewing products to meet your needs. Our scope of advice is shown below and on the next page:  Investments and Pensions - We offer a restricted whole of market advice service. As part of our restriction we have taken the decision not to advise on certain types of investments such as unregulated collectives, split capital trusts, endowments, exchange traded commodities, alternative investment markets and venture capital trusts as we have evaluated that these investments are seldom suitable for our clients. For the products that we include in our advice offering, we operate a centralised research process which results in the establishment of a menu of preferred suppliers that our advice team use to fulfil our clients needs. Currently we use Standard Life as our preferred provider for investment wrappers via their Wrap administration platform, Scottish Widows as our preferred provider of Group Pension solutions and The ▇▇▇▇▇▇▇ investment solution as our preferred approach to deliver our clients investment strategies. These providers are reviewed regularly as part of our centralised research process and by our investment committee. Should your circumstances indicate that these providers are not appropriate our advisers are able to research the market place to meet your needs.  Non-investment protection contracts - we offer non investment protection products e.g. term assurance, income protection and critical illness from a range of insurers.  Insurance – We offer advice from a range of insurers.
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Scope of Advice. The Clients agrees that: I. The risk profiling and suitability of an investment for Client has been determined by Investment Advisor on the basis of information provided by the Client to Investment Advisor in relation to the financial position as disclosed by the Client and responses of the Client to questions as laid out in the risk profiler and in no case the Investment Advisor will be liable for any loss suffered by the Client, if the information provided by the Client is incorrect or incomplete. II. Advice given by the Investment Advisor will be based on the information obtained from publicly available sources and not on the basis of insider or material non public information of any nature whatsoever. III. The recommendations given by the Investment Advisor shall be based upon the professional judgment and analysis of the Investment Advisor. IV. There would be no guaranteed returns associated with the advice, opinion or recommendation given by the Investment Advisor. V. The Client is solely responsible for electing to follow or not follow any advice or recommendation given by the Investment Advisor, and the Investment Advisor shall have no right or authority to ensure or cause the Client to act upon the advice tendered by it pursuant to this Agreement. VI. The advice and recommendations given to the Client are intended strictly for Client's benefit, and no other persons shall be entitled to rely on such advice or recommendation. VII. The advice, opinion or recommendation given by the Investment Advisor shall be of confidential nature, and such advice, opinion or recommendation shall not be quoted in whole or in part or otherwise referred to in any document or delivered to any other person or entity for any other purpose, without Investment Advisor’s prior written consent. VIII. Investment Advisor shall not deal in any securities beyond the Term as is defined in this Agreement for and on behalf of the Client. IX. Subject to the applicable laws, the Investment Advisor and/or its affiliates are also engaged in the business of providing other financial services, and that Client shall be under no compulsion to avail such services.
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Scope of Advice 
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Related to Scope of Advice

  • REPRESENTATIONS OF ADVISER The Adviser represents, warrants and covenants that: A. The Adviser (i) is registered as an investment adviser under the Advisers Act and will continue to be so registered for so long as this Agreement remains in effect; (ii) is not prohibited by the Investment Company Act, the Advisers Act or other law, regulation or order from performing its obligations under this Agreement; (iii) has met, and will seek to continue to meet for so long as this Agreement is in effect, any other applicable federal or state requirements, or the applicable requirements of any regulatory or industry self-regulatory agency, necessary to be met in order to perform its obligations under this Agreement; (iv) has the power and authority to enter into and perform its obligations under this Agreement; and (v) will promptly notify the Sub-Adviser of the occurrence of any event that would disqualify the Adviser from serving as the investment adviser of an investment company pursuant to Section 9(a) of the Investment Company Act or otherwise. B. The Adviser has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the Investment Company Act and will provide the Sub-Adviser with a copy of such code of ethics. C. The Adviser will also promptly notify the Sub-Adviser if it is served or otherwise receives notice of any action, suit, proceeding, inquiry or investigation, at law or in equity, before or by any court, public board or body, involving the affairs of the Portfolio(s) and affecting the Sub-Adviser; provided, however, that routine regulatory examinations not involving the Sub-Adviser shall not be required to be reported by this provision. D. The Adviser is registered as a commodity pool operator (“CPO”) under the Commodity Exchange Act (“CEA”) and is a member of the National Futures Association (“NFA”). With respect to each of the Portfolio(s), the Adviser has claimed either (1) the CPO exclusion in Commodity Futures Trading Commission (“CFTC”) Regulation 4.5 with respect to the Portfolio and, in such case, the Adviser will file the notice required under CFTC Regulation 4.5 with respect to the Portfolio and will annually reaffirm such notice filing on behalf of the Portfolio as required by CFTC Regulation 4.5; or (2) the relief in CFTC Regulation 4.12(c)(1)(ii) with respect to the Portfolio. Information regarding whether the Adviser has claimed either the CPO exclusion in CFTC Regulation 4.5 or the relief in CFTC Regulation 4.12(c)(1)(ii) with respect to a Portfolio is available on the NFA’s website at ▇▇▇.▇▇▇.▇▇▇▇▇▇▇.▇▇▇. The Adviser further represents, warrants and covenants that each of the Portfolio(s) is, and until this Agreement is terminated will remain, an “eligible contract participant” within the meaning of Section 1a(18) of the CEA.

  • USE OF ADVISER’S NAME The parties agree that the name of the Adviser, the names of any affiliates of the Adviser and any derivative or logo or trademark or service ▇▇▇▇ or trade name are the valuable property of the Adviser and its affiliates. The Manager and the Trust shall have the right to use such name(s), derivatives, logos, trademarks or service marks or trade names only with the prior written approval of the Adviser, which approval shall not be unreasonably withheld or delayed so long as this Agreement is in effect. Upon termination of this Agreement, the Manager and the Trust shall forthwith cease to use such name(s), derivatives, logos, trademarks or service marks or trade names. The Manager and the Trust agree that they will review with the Adviser any advertisement, sales literature, or notice prior to its use that makes reference to the Adviser or its affiliates or any such name(s), derivatives, logos, trademarks, service marks or trade names so that the Adviser may review the context in which it is referred to, it being agreed that the Adviser shall have no responsibility to ensure the adequacy of the form or content of such materials for purposes of the Investment Company Act or other applicable laws and regulations. If the Manager or the Trust makes any unauthorized use of the Adviser’s names, derivatives, logos, trademarks or service marks or trade names, the parties acknowledge that the Adviser shall suffer irreparable harm for which monetary damages may be inadequate and thus, the Adviser shall be entitled to injunctive relief, as well as any other remedy available under law.

  • Status of Adviser The services of the Adviser to the Fund are not to be deemed exclusive, and the Adviser shall be free to render similar services to others so long as its services to the Fund are not impaired thereby.

  • Status of Advisor The services of the Advisor to the Fund are not to be deemed exclusive, and the Advisor will be free to render similar services to others so long as its services to the Fund are not impaired thereby. The Advisor will be deemed to be an independent contractor and will, unless otherwise expressly provided or authorized, have no authority to act for or represent the Fund in any way or otherwise be deemed an agent of the Fund or the Trust.

  • APPOINTMENT OF ADVISER The Manager hereby appoints the Adviser to act as an investment adviser for the Fund, subject to the supervision and oversight of the Manager and the Trustees of the Trust, and in accordance with the terms and conditions of this Agreement. The Adviser will be an independent contractor and will have no authority to act for or represent the Trust or the Manager in any way or otherwise be deemed an agent of the Trust or the Manager except as expressly authorized in this Agreement or another writing by the Trust, the Manager and the Adviser.